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Programme Planner – large and Complex Compliance/Financial Crime (AML, KYCC)
Successful applicants will have: A track record of Programme and Project Planning across multiple projects simultaneously. Experience of supporting the Programme Managers The ability and track record of monitoring RAIDS. 5 years banking (ideally commercial) experience. Previous experience of planning on large programs – of up £10 Million For more information, contract me on: Kam.Bamrah@alexanderash.com
Sr Mgmnt Admin Assistant- Compliance and Ethics Job
– expertise in Powerpoint Qualifications The qualified candidate will have 8 + years of significant secretarial experience. S/He should be familiar with MS Office. S/He should have good math skills, excellent oral/written communication skills, as well as organizational/interpersonal skills. Primary Location: New York, NY, USInternal Jobcode: 00298Job: Audit/Compliance/RiskOrganization: Compliance Ethics-HR06015
Conduct Risk Analyst- Compliance
A leading bank in the City is currently seeking an experienced Compliance professional to join them as a Conduct Risk Analyst. The Conduct Risk function carries out targeted assessments and analysis across the business, identifying any gaps and devising/ embedding best practice frameworks and methodology. Reporting to the Head of Conduct Risk, you will provide expert advice to shape the development of Conduct Risk processes and methodology to ensure that best practice is adhered to, conducting gap analysis as appropriate. You will then lead the implementation of methodology throughout Read more […]
IT Strategy Manager (Risk, Finance, Regulatory OR Compliance
My Client is on of the worlds powerhouses within Capital Markets commodities.They are hiring Executive IT Strategy Managers to lead them through a significanlty transformational period.Capital Markets regulations are driving extensive investment in infrastructure and architecture and as such there is a significant desire by the business to onboard key strategists within the business to manage technology investment strategy aligned to high profile business areas (Risk, Regulatory, Compliance).You will be responsible for reviewing IT Investment Spend for 2014 to ensure maximum return and optimising Read more […]
Project Compliance Consultant
Role description As Project Compliance Manager within the Financial Services division based in London your daily responsibilities will include: Planning and delivery of client engagements Providing e-clients with responsive regulatory advice and solutions. Update relationship contacts on regulatory advice and solutions Set up relevant compliance infrastructure materials for clients. Carry out compliance assessments onsite with clients and subsequently write compliance evaluation reports. Build/ develop client relationships. Involvement in designing/ running training courses. Who we’re looking Read more […]
Strategy & Execution Compliance Manager – Investment Bank – London
My client is a leading financial services firm and seeks a Strategy Execution (AVP) manager. This bank boasts of having one of the largest compliance teams within the industry and they are continuously increasing due to the ever increasing regulatory changes and scrutiny of the Financial Services. This bank is currently undergoing massive changes and transformation to constantly stay ahead in the industry; which presents exciting opportunities and a positively challenging environment. The culture is ever evolving and with some of the best Compliance professionals leading the department, it is Read more […]
Compliance Officer
Objective of the Position To provide senior management with a Compliance framework which assists in the ongoing identification, assessment, mitigation and monitoring of compliance risks. Core Activities: Advisory Collaboration across all levels of ABN AMRO Policies and Procedures Reporting Risk Identification and Assessment Leadership, coaching and development of others Training Requirements: Ideally degree educated, or a strong academic record with extensive compliance experience. Professional qualifications, such as the CISI Diploma or equivalent. A strong and demonstrated ability to provide Read more […]
Senior Compliance Associate
The role: The role will be focussed on the review of marketing and presentational materials, as produced by the Marketing and Sales teams, for Compliance with relevant regulatory requirements. This includes standard materials as well as an increasing number of customised materials Additional Responsibilities include: To build a relationship with the Marketing and Sales teams to help with queries and issues raised. Provide training to the Marketing and Sales teams Support Compliance of the European branch offices and representative office Support the distributor due diligence process, including Read more […]
Compliance Director
The main duties of the role are listed below. This is an advisory role for employees and managers to identify areas that give rise to a conflict of interest and work to resolve those conflicts Ongoing surveillance and “spot checking” of personal trading activity to detect conflicts of interest, trading violations, front running, trading on inside information etc. and escalate as appropriate Ongoing review and evaluation of the Firm’s policies and procedures to ensure that risk issues continue to be the focus of the Personal Securities Monitoring Team Provide a practical and supportive role in Read more […]
AVP, Compliance
MAIN DUTIES/KEY RESPONSIBILITIES:Manage and conduct the ongoing bank-wide Compliance Monitoring Programme through planning, preparation and completion of assessments;Perform the KYC/AML screening checks on all new and current clients, along with MiFID classification and documentation; this includes past business reviews;Able to manage and challenge senior stakeholders to achieve the required quality outcomes, and escalate to Head of Compliance/MLRO as appropriate;Able to conduct detailed investigations into higher risk client backgrounds and validate results;Able to come up with solutions and recommendations Read more […]