Search Results
Retail and Business Banking Compliance
This outstanding role in probably the outstanding retail and business banking franchise in the UK is a proactive, first line of defence position that will entail: Evaluation of the effectiveness of current policies and procedures Providing control evaluation and challenge of an active compliance change agenda Evaluating and signing off of new products and business offerings This is a challenging and wide remit that will put you at the heart of a sophisticated compliance function and in a significant relationship management position with a great many senior decision makers and stakeholders. Read more […]
Compliance Assistant
Working for a growing Institutional Asset Management business, my client is looking for an experienced compliance generalist to take on a number of duties within the small department including financial promotions, monitoring, client on boarding and approved persons.Excellent opportunity for long term growth – £200 per day, £35,000- 40,000 on a permanent basis
Internal Audit – Compliance Auditor
Job role :Internal Audit – Compliance Auditor – Funds Banking £35000 – £45000 My client, a specialist team within one of the UK’s well known banking groups is seeking to appoint an Internal Auditor who will be responsible for the planning, undertaking and reporting upon of structured external compliance audits of Authorised Fund Managers to a risk based frequency. You will be able to demonstrate technical knowledge around collective investment schemes and will need to have experience and exposure to regulatory oversight. You will have experience of auditing in financial services and have worked Read more […]
Financial Crime Compliance
I am currently seeking Financial Crime compliance candidates for multiple firms within insurance and investment banking. There are various opportunities available from entry level all the way up to senior management. I am also seeking candidates with AML Advisory experience, at manager and senior manager level. So if you have any financial crime experience particularly AML, please get in touch asap! Ibrahim.ali@eamesconsulting.com – 020 7092 3261
Business Analysis; Project Manager; SQL; Auditing; Risk; Compliance
A vacancy exists at a top-tier Investment Bank for a Business Analyst to work with a team of auditors on a replacement of a legacy system. You will be joining a global team in an autonomous role working with different areas of the division. The role will see you initially taking responsibly for the entire analysis of this area. You will need to show evidence in your CV where you have spoken with SME’s before to discuss requirements (some technical knowledge will be needed) and then proactively write functional specs for an offshore development team. Thus, you must have excellent experience around Read more […]
Compliance Manager (part-time)
The successful candidate will report into the Head of Compliance and assist them to ensure that the firm complies with relevant FCA and European regulatory requirements, as well as relevant group compliance policies and procedures. Duties include (but are not limited to): Undertake more complex monitoring items in relation to the Compliance Monitoring Plan (Desk Reviews, adherence to FCA regulations and policies, Client Order Handling, Use of Dealing Commissions, etc) Prepare and issue reports of the testing and results and circulate and escalate as necessary Consider required revisions to Read more […]
Compliance Surveillance Roles
Key Surveillance and Monitoring Opportunity! · Researching and responding to FSA and other regulatory enquiries. · Researching and responding to internal enquiries relating to potential compliance risks. · Development and implementation of compliance monitoring and testing programs to meet regulatory requirements Working for a Top Tier Bank, fantastic opportunity to develop a career in a well developed leading compliance function!Hays Specialist Recruitment Limited acts as an employment agency for permanent recruitment and employment business for the supply of temporary workers. By applying Read more […]
AML COMPLIANCE
Our client is a leading financial service company that was built to create highly diversified financial services solutions to for clients throughout the world. With steady growth within the region, they are now looking for an outstanding candidate to join their team. Assist in the implementation of and oversight of AML compliance function. Provide guidance on AML policies and regulations and liaise with business for day-to-day Compliance-related issues and questions. Follow-up market developments and new AML rules/regulations, to ensure new rules are appropriately implemented and monitored. Review Read more […]
Head of Compliance & Risk
HEAD OF COMPLIANCE RISK – (STOCKBROKER) – LONDON We are seeking a part time Head of Compliance and Risk (CF10 CF11) to join an expanding Stockbroking and FX trading company based in the heart of London’s financial district. Read on…. Authorised and regulated by the Financial Conduct Authority our client provides equities, CFDs, and FX trading opportunities to an established base of retail customers. Reporting to the Director of Finance and Operations this is a unique opportunity for a Head of Compliance Risk (CF10 CF11) to join this dynamic business on a part time basis. Involved Read more […]
Operational Risk And Compliance Manager
Role Responsibilities:Provide regulatory oversight and advice to ensure that the business is informed of all risksMonitor the management of Compliance and Risk related issues/breaches ensuring they are appropriately handled, escalated and resolvedEngage and effectively communicate with management, internal customers and multiple stakeholdersDrive new Risk and Compliance initiatives or projects to reflect ongoing brand strategy Provide Risk and Compliance advice to advance the continuous enhancement of frameworksConduct Risk assessments and control testing exercisesReport writing and presentation Read more […]