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Chief Compliance Officer (CCO) for Swap Execution Facility (SEF)
Principal Duties Responsibilities: CCO has oversight authority over all compliance functions and staff acting in furtherance of those compliance functions. CCO’s authority also extends to any activities performed by the SEF to verify that other entities are in compliance with applicable laws and regulations (such as the verification of the timeliness of reporting certain swap data). CCO must supervise a SEF’s self-regulatory program with respect to: trade practice surveillance; market surveillance; real-time market monitoring; compliance with audit trail requirements; enforcement and disciplinary Read more […]
Compliance Assurance Manager
Job role : Compliance Monitoring ManagerLocation: LondonSalary £50,000A fantastic new job opportunity has arisen with a leading insurance business based in the city of London. The job role of Compliance Monitoring Manager sits within the Compliance and Risk Management team. As a Compliance Monitoring Manager you will be responsible for delivering the ongoing compliance across the business and undertake regular compliance assurance reviews. This will include pre visit planning and business notification, collation and analysis of business MI, feedback to the business and complete reports. In Read more […]
Director, Client Onboarding and Compliance Operations
• Major Global Bank • Regional and Global Support Roles • Exciting Transformation This is a major global bank with significant presence in Asia Pacific. The bank has a great reputation for encouraging professional development, internal mobility as well as a culture which promotes creativity and innovation. This is an exciting role where you will manage teams responsible for client onboarding for the regional investment banking business , as well as global compliance operations for shareholder reporting and employee compliance. These are functions undergoing transformation and growth, where Read more […]
Compliance and Risk Specialist
An exciting opportunity exists for a Risk and Compliance specialist to join a well established and innovative organisation in the Financial Services sector South of Sydney.This position, reporting to Executive management will be solely responsible for Risk and Compliance frameworks. From implementation of new process, strategies and software this position will require training and development procedures across the entire organisation to ensure all regulatory requirements are met. You will conduct control testing requirements and analysis of business continuity across all areas of the business Read more […]
Senior Manager, Risk, Internal Controls & Compliance
An unique and exciting opportunity has arisen within a global player within the international financial services sector who are experiencing strong growth. You will be responsible for supporting, designing and implementing continuous improvements for the risk and compliance framework and developing all risk management policies and procedures by understanding all of the specific needs of the business in line with external regulatory requirement including APRA, ASIC and AUSTRAC. You will carry out the management of the internal controls and risk management to ensure compliance is water tight Read more […]
VP RIA Advisory Compliance
Qualified candidates will have: excellent writing and verbal communication skills; a strong work ethic and a passion for high performance; self-motivation; high energy; excellent interpersonal skills; proficiency with PC applications and aptitude for learning a variety of systems; the highest standards of integrity and ethical judgment; and a minimum of 5 years relevant compliance experience, preferably at a major national or global securities firm or regulator. Candidate must be familiar with the SEC and FINRA regulatory environment and requirements. Helpful experience or knowledge would include: Read more […]
Compliance Officer
Our client is reputable commodity trading MNC and is one of the world’s biggest energy and resources companies, with Singapore as its Asia Pacific HQ. As a result of business expansion, an opportunity has arisen in the Compliance team and be responsible for compliance monitoring and advisory matters. This role will report to the Head of Compliance and Risk. You will be responsible for providing compliance guidance to senior management, traders, risk managers and operators. This would include dealing with ad-hoc compliance issues when they arise. You will also perform KYC reviews on all areas Read more […]
Tax Compliance Consultant
Must be currently located in Australia to be considered for this positionOur client is a leader in global banking and financial services seeking a Tax Compliance Consultant to support the Head of Tax within their Risk Compliance and Control Team. A primary area of focus for this team is effectively managing key risk through appropriate level of permanent controls over the business for Australia and New Zealand.Responsibilities Key tax policy research, development and implementationSupport the Head of Tax in their strategic advisory role and work alongside Risk Managers ensuring compliance with Read more […]
South Asia Regulatory Compliance Head
Responsibilities: Providing proactive and effective compliance advisory support to the private banking business involving South Asia, with a primary focus on the activities conducted out of Singapore. Coordination with Country Compliance Officer to provide compliance coverage for the onshore platform in India. Building effective relationships with regulators and managing regulatory reporting, onsite audits and regulatory enquiries, in coordination with the respective Country Compliance Officers. Supervising the South Asia Regulatory Compliance team to provide effective compliance coverage. Developing Read more […]
CEMAP Qualified Compliance Administrator
CEMAP QUALIFIED COMPLAINTS AND COMPLIANCE ADMINISTRATORSKIPTON£27000-£35000A fantastic opportunity to join a well established financial organisation working within their Customer Operations team. The company specialises in servicing commercial mortgages, particularly to SME’s across the UK.The company is looking to recruit a complaints and compliance administrator to undertake compliance monitoring, investigating customer complaints and to provide assurance that the business meets its regulatory requirements. The role will also provide general administration support to the Operations Teams Read more […]