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VP-Head of Core Compliance
Position Description Morgan Stanley is a global financial services leader with three core businesses – Institutional Securities, Asset Management, and Global Wealth Management. Global Wealth Management is offered by Morgan Stanley, which has one of the world’s largest network of Financial Advisors and current total assets of 1.7 trillion as of April 21, 2011. Morgan Stanley has expanded its suite of world-class banking and lending products for Morgan Stanley Financial Advisors and their clients. In addition to our comprehensive financial services, which include brokerage, investment advisor, financial Read more […]
Compliance VP | Fixed Income, Currencies and Credit
A role as VP – Compliance Fixed Income, Currencies Credit, Treasury with my client – a top tier European Bank based in Hong Kong, is available immediately. The client is expanding its FIC TRE team, and looking out for an experienced candidate to join its team. The candidate will have a regional remit and will work closely with the Regional Director, Head of Compliance, and other teams. It is a great opportunity for candidates who are looking for challenging job assignments and greater career exposure to join a leading bank with extensive presence across the globe. My ideal candidate would Read more […]
Risk and Compliance Adviser, Investments
6 Month ContractView to Permanent Position Potentially Another Senior Position Due to ExpansionThe wealth management arm of a leading financial services institution currently require a Risk and Compliance Adviser for their Insurance and Investments business. This position requires an practiced and capable risk or compliance professional to be involved in a variety of risk management and compliance activities. As the Risk and Compliance Adviser, you will be responsible for protecting the business by assisting it to carry out effective risk practices including compliance with legislation and internal Read more […]
Compliance Manager
You will be responsible for supporting the Head of Strategy Investment Banking Compliance in all day to day matters. Responsibilities Coordinate with Markets Compliance Strategy Execution team for matters impacting on all of Product Compliance. Support the Compliance projects change agenda, including the compliance enhancement program, as it impacts Private Side Research compliance. Devise strategy and provide single point of coordination for Private Side Research Compliance. Assist in establishing a global support model for Private Side Research Compliance and provide streamlined consolidation Read more […]
Compliance Manager- Testing
A top tier Investment Bank is currently seeking a Compliance Manager- Testing to perform Asset Management monitoring activities, including data analysis and management reporting.Your responsibilities will include: researching, planning and leading detailed reviews to ensure compliance with regulations, preparing reports of findings including recommendations to the business, analysing and maintaining compliance risk data and working on ad hoc projects. The successful candidate might have come from an Accountancy, Internal Audit, Quality Assurance or Regulatory Examiner background. Asset Management Read more […]
Compliance Officer – Hedge Fund (part
This is a varied and challenging role with responsibilities including (but not limited to): Monitoring activities in the UK office for consistency with the firm’s global compliance program Managing all compliance activities in line with FCA regulatory requirements Outlining and monitoring the Firm’s AIFMD compliance strategy Managing regulatory relationships in the UK Overseeing and ensuring accurate and timely reporting to regulators in the UK and Europe. Assisting with the maintenance and implementation of a global risk-based monitoring and testing program Keep up to date with current and Read more […]
Deputy Head of EMEA Anti Money Laundering Compliance
UBS Investment Bank is seeking to recruit a Deputy Head of EMEA Anti Money Laundering Compliance (AMLC), based in London, reporting to the MLRO. AMLC is responsible for coordinating the anti-money laundering, anti-bribery and sanction programs for UBS Investment Bank. The team helps to provide the firm with the necessary tools to help prevent the use of UBS-IB’s facilities for money laundering, terrorist financing or for violating economic sanction laws, as well as preventing the bribery of public officials.The primary responsibilities of this role are:Day to day oversight of the IB EMEA AMLC Read more […]
Compliance Manager
This role is repsonsible for helping to develop and implement a robust compliance framework for this business and its managed funds as well as governance oversight.You will be responsibile for a range of compliance duties inclduing but not limited to; compliance advisory to the business; the preparation of compliance policy and procedures; board reporting; review of IMA’s and RFP’s and input into new compliance projects and initiatives. To be successful in this role you will exiting investment management compliance experience and be adept at forging strong relationships with very senior business Read more […]
AML Compliance
Within this role you will: * Investigate potential money laundering and fraudulent financial activity across business lines. * Provide subject matter expertise in the area of Anti-Money Laundering and financial fraud investigations; ie: FCPA, OFAC and/or PEP filtering systems, KYC file remediation, AML gap assessments, AML compliance monitoring and AML training and the review and preparation of SARs * Lead and supervise compliance officers * Train and development of junior compliance officers MUST have prior AML compliance experience at a public accounting or consulting firm – KPMG, Deloitte, Read more […]
Compliance Analyst- Control Room
A leading Investment Bank is currently seeking a Compliance Analyst- Control Room. The Control Room within the bank is responsible for detecting and preventing misuse of market information. You will be responsible for ensuring compliance with all relevant regulation, administering and publishing the banks Restricted list and associated monitoring. Key responsibilities include: conflict clearing, research clearance, watch and restricted list maintenance.The successful candidate will exhibit excellent communication skills, with high levels of motivation and the ability to work to deadlines. Read more […]