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Compliance BA
Business Analyst – Compliance Permanent – Control Room SurveillanceCanary Wharf Compliance – Control Room Surveillance – Business Analyst – Permanent – Canary Wharf An experienced Business Analyst required for a leading bank. The ideal candidate will have expertise in Compliance, Control Room Surveillance and strong SQL knowledge.The Compliance Control Room Surveillance Business Analyst will assist in data analysis from various upstream systems, and develop landscape/architecture of the data flows consumed by Compliance applications. The successful candidate will work very closely with key business Read more […]
Senior Compliance Manager
The London-based Compliance Team creates, develops, implement, monitor and manage the firm’s procedures, key controls and policies to seek to ensure that the firm’s control, risk and governance structures are adequate Key RESPONSIBILITIES: · Identify regulatory risks, gaps or breaches and support, advise upon and manage the implementation of new or enhanced control amendments for new services or products, in conjunction with new legislative or regulatory initiatives such that the firm continues to meet its regulatory requirements and also in order to enhance the firm’s control structure. · Monitor Read more […]
Compliance Manager
Our CompanyState Street Corporation (NYSE: STT) is the world’s leading provider of financial services to institutional investors including investment servicing, investment management and investment research and trading. With $25.74 trillion in assets under custody and administration and $2.15 trillion in assets under management as of June 30, 2013, State Street operates globally in more than 100 geographic markets and employs 29,225 worldwide. For more information, visit State Street’s website at www.statestreet.com.Promoting a culture of excellenceWith more than 29,225 employees across 29 countries, Read more […]
Securities Compliance Examiner
The SEC’s mission is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. The agency seeks high-caliber professionals who share the same values of integrity, fairness, accountability, resourcefulness, teamwork, and commitment to excellence. The SEC offers a number of enhanced pay and benefits plus the standard Federal benefits: Paid dental insurance and vision insurance Increased agency subsidy for health insurance which supplements your health benefits premiums by $25 for self-only coverage, and $50 for family coverage Mass transportation subsidy Read more […]
Compliance AVP
Working for the Asset Management Wealth division of a larger banking group, my client is looking for an AVP Compliance professional to cover a maternity contract. Duties include – Financial promotions, Client On Boarding, Complaints, Reporting.To start October 2013Previous broad compliance experience essential – 2-4 years
Senior Financial Crime Compliance Manager, International
If you’re looking for a career that will unlock new opportunities, join HSBC and experience the possibilities. Whether you want a career that could take you to the top, or simply take you in an exciting new direction, HSBC offers opportunities, support and rewards that will take you further. Global Risk is a thriving and expert risk management function supporting HSBC globally with all aspects of risk management. The team actively manages a varied and dynamic range of risk types, including security, fraud, information security, contingency, geopolitical, operational, credit, pension, insurance, Read more […]
Senior Manager AML Compliance GBM Team Lead
High Risk Role Within HSBC certain roles are designated as High Risk Roles. High Risk Roles are those where employee malpractice could lead to significant financial and/or reputational damage through internal fraud, data loss, bribery or the leaking of confidential information. For these roles, all internal and external applicants are required to undergo a range of enhanced security/background checks as part of the pre-employment vetting process. This role has been designated as a High Risk role and any candidate hired into this role would be subject to this vetting. In the event that you are short-listed Read more […]
Director, Regulatory Project Compliance (Global Markets)
Our client is a global financial services institution with a rapid growth in the Asia Pacific region. As a result of the evolving regulatory environment, they are looking for an experienced Director to join the dedicated team in Global Markets The Role Reporting to the Regional Head of Compliance, you will be fully responsible for: Developing and implementing material regulatory change for the Global Markets business Providing compliance support to senior management in HK and the APAC region for all relevant external regulations Collaborating with business and the compliance team members to provide Read more […]
Compliance Manager, International Brokerage
Our client is a global brokerage house with excellent industry expertise and primary technology to ensure the delivery of quality services to the clients The Role Reporting to the Head of Compliance, you will be fully responsible for: Implementation of new rules and compliance program within the firm Keeping abreast with the exchange rules and regulations relating to the business Maintaining a robust relationship with the regulatory body and to assist with visits, investigations and enquires Developing and delivering training program to all staff on compliance matters Providing compliance related Read more […]
Business Analyst- AML/Compliance
As part of our Global Compliance Programme, we are looking to hire a number of Business Analysts at AVP level. The roles will focus on facilitating and supporting system change controls across our AML and KYC areas. To be considered you must have the following skills: – Experienced Business Analyst (ideally with a stable employment history). – Track record within AML, Governance or Compliance Programmes – Financial Services experience (ideally with another large banking institution) – Knowledge of SAS or Cliqview is an advantage.