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Chief Compliance Officer Investment Advisor (CCO IA)
AIG Life Retirement has an opportunity for an Investment Adviser Chief Compliance Officer in Atlanta, GA. The high-performing professionals we serve rely on the resources we offer as a part of one of America’s largest networks of independent financial advisers. Our customer-driven approach is focused on meeting the unique demands of businesses. Performance objectives in this position are as follows:* Responsible for compliance with SEC rule 206(4)-7 of the Investment Advisers Act of 1940, FINRA rules, state securities laws, and related securities/ERISA/insurance regulations for all Corporate Registered Read more […]
Risk/ Compliance Manager
Our client urgently requires an experienced Risk/ Compliance Manager with a background in Commercial Banking advantageous. Key Responsibilities Include:- Working closely with Unit Heads and key Stakeholders across all sectors of the organisation with regard to Risk and Compliance matters Ongoing surveillance and monitoring of the the Risk Management Framework ensuring it complies with internal policies and regulation Continuous improvement and testing of Internal Controls while maintaining open communication channels to Senior Management Working with local regulators and overseas offices to manage Read more […]
Project Manager – Compliance – Operations
Alexander Ash is acting as an agency for the purpose of this advert. Please also view our website for other similar opportunities; http://www.alexanderash.com/banking-jobs.php Exposure and good understand of BPM, Lean and Six Sigma methodologies Core deliverables of the project include building a dedicated process improvement function in Compliance Operations consisting of analysis, project delivery and cultural components. Travel to Mexico 1 week per month Please send your CV to maria.vavoulas@alexanderash.com Read more […]
Senior Regulatory Compliance Manager
Our client, a Global Financial Institution is looking for a Senior Regulatory Compliance Manager to provide guidance and advice on all aspects of regulatory compliance across their businesses globally. The individual would help to develop and maintain regulatory standards to enhance and protect the reputation of the firm. Duties include: Manage Global Risk and Regulatory Compliance teams regarding upstream regulatory risk. Responsible for ensuring the effective and timely implementation of new regulatory requirements across the global function. Develop an appropriate policy and framework to manage Read more […]
Compliance officer required for top tier global oil trading firm-Singapore
Commodities Compliance Officer sought by leading global oil trading firm-SingaporeLocation – SingaporeSalary – $80,000SGD-$110,000SGD + bonus benefits This role offers candidates a great opportunity to work within one of the world’s most successful commodities trading groups. The role will report directly into the Head of Trading and CCO as well as having a dotted reporting line into the board.The role has become available as the group looks to double in size over the next 18 months, a move which represents the incredible profits gained during 2012. The role will have up to 15 direct reports Read more […]
Compliance Asset Management / Broker-Dealer
The broker-dealer distributes US mutual funds and private placement funds. The broker-dealer has also applied to be registered in Canada as an Exempt Market Dealer to distribute Canadian private funds.Responsibilities:Workload Management• Review mutual fund, closed-end fund and institutional marketing material for accuracy and compliance with regulatory and GIPS requirements, including websites, consultant databases and social media. • Submit marketing material to FINRA (FINRA Rule 2210)• Assist with the development and implementation of compliance programs including writing policies and Read more […]
VP FICC Compliance Manager
Diversified Global Banking Group VP level FICC Compliance position Attractive Base Salary + Bonuses Our client is a leading Global Banking Group with diversified banking services and products across Asia including retail and corporate banking. As part of the group’s strategy to strengthen Markets Compliance, a newly created opportunity has arisen for a subject matter expert in FICC Compliance to join the bank’s Hong Kong Markets Compliance team, reporting to the Head of FICC Compliance. This role will be responsible for providing compliance support to the FICC and Sales Trading Businesses Read more […]
Legal & Regulatory Compliance
Monitoring business activity and conducting regular reviews to ensure compliance with the FCA rules and regulations, relevant guidelines and policies, analyzing regulatory changes and developing a framework of internal codes, policies and procedures and implementing best practice.Duties and Responsibilities- Maintain and monitor the Company’s Compliance Manual and Compliance Monitoring Program and adjust in line with continuous FCA handbook changes. Liaison with all business areas including employee training as required;- Preparing and updating Company’s internal procedures and policies for Read more […]
Compliance Analyst
In this role you will be responsible for ensuring information integrity between the different areas of the investment bank’s daily operations. This will involve a high level of monitoring and controlling of the information flows.Key responsibilities will be:Interacting with the Advisory, Investment, and Securities teams to ensure confidentiality between teamsResearch reviews to ensure compliance with legal and the regulatory environmentsOther detailed compliance related activities interacting with multiple stakeholders across the Australia business and with international stakeholdersThe successful Read more […]
VP, Retail Brokerage AML Compliance
This position supports the Retail Brokerage / Wealth Management business, the individual will be responsible for AML Sign-Off Approval, Advisory Services, collaborating with senior management team to implement AML policies and procedures. This position has the authority to make customer risk decisions of significant complexity. Tha major challenges of the role is to ensure the business understand the AML/OFAC risks involved in on-boarding certain client types and to embed a culture of AML Compliance into the daily activities of the business. The ideal candidate will have minimum of 10 years of Read more […]