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Compliance and Risk Manager
An opportunity has been created as the current Compliance and Operational Risk Manager is transitioning into the business. As Compliance and Operational Risk Manager, you will work with stakeholders of the business to meet compliance requirements for the Wrap and Superannuation product lines within the Macquarie Adviser Services division of the Banking and Financial Services Group (BFS). More about the role:Proactively identifying compliance requirements for the Wrap and Superannuation businesses and assessing the existence and adequacy of controls to manage such compliance requirements; Assessing Read more […]
Compliance Officer, Hong Kong
Key Accountabilities and ScopeThe incumbent will report regularly to the Global Head of Compliance in London and responsibilities include the following:Keep abreast of new regulatory requirements published by HK Stock Exchange (HKSE) and SFC as well as update the compliance manual / policy and design internal controls in response to these changesEnsure compliance with all relevant rules and regulations published by HKSE and SFC, including the Securities and Futures Ordinance (SFO)Formulate, monitor and implement various compliance policies, including:Staff trading/dealing policydocument retention Read more […]
Compliance – Compliance Officer x3, AML Alert Analysis – AVP
JPMorgan Chase Co. (NYSE: JPM) is a leading global financial services firm with assets of $2 trillion and operations in more than 60 countries. The firm is a leader in Investment Banking, Financial Services for consumers, small business and commercial banking, financial transaction processing, asset management, and private equity. Global Financial Crimes Compliance (GFCC) team is part of:The Global Compliance Regulatory Management department which is responsible for the provision of compliance services to the Firm. The Global Financial Crimes Compliance (GFCC) organization has over 700 staff Read more […]
Compliance – Compliance Analyst x 3, AML Alert Analysis – Associate
JPMorgan Chase Co. (NYSE: JPM) is a leading global financial services firm with assets of $2 trillion and operations in more than 60 countries. The firm is a leader in Investment Banking, Financial Services for consumers, small business and commercial banking, financial transaction processing, asset management, and private equity. Global Financial Crimes Compliance (GFCC) team is part of:The Global Compliance Regulatory Management department which is responsible for the provision of compliance services to the Firm. The Global Financial Crimes Compliance (GFCC) organization has over 700 staff Read more […]
Compliance – Global Financial Crimes
JPMorgan Chase Co. (NYSE: JPM) is a leading global financial services firm with assets of $2 trillion and operations in more than 60 countries. The firm is a leader in investment banking, financial services for consumers, small business and commercial banking, financial transaction processing, asset management, and private equity. The Global Financial Crimes Compliance (GFCC) organization within JPMorgan Chase Co. is responsible for assisting in the development, implementation and oversight of the JPMC GFCC Program.General ResponsibilitiesThis position is responsible for conducting AML/Sanctions Read more […]
Compliance – Global Financial Crimes
JPMorgan Chase Co. (NYSE: JPM) is a leading global financial services firm with assets of $2 trillion and operations in more than 60 countries. The firm is a leader in investment banking, financial services for consumers, small business and commercial banking, financial transaction processing, asset management, and private equity. The Global Financial Crimes Compliance (GFCC) organization within JPMorgan Chase Co. is responsible for assisting in the development, implementation and oversight of the JPMC GFCC Program.General ResponsibilitiesThis position is responsible for conducting AML/Sanctions Read more […]
Compliance – Global Financial Crimes
JPMorgan Chase Co. (NYSE: JPM) is a leading global financial services firm with assets of $2 trillion and operations in more than 60 countries. The firm is a leader in investment banking, financial services for consumers, small business and commercial banking, financial transaction processing, asset management, and private equity. The Global Financial Crimes Compliance (GFCC) organization within JPMorgan Chase Co. is responsible for assisting in the development, implementation and oversight of the JPMC GFCC Program.General ResponsibilitiesThis position is responsible for implementing AML/Sanctions Read more […]
Tax Compliance and Planning Associate or Manager
Position Description Morgan Stanley has earned a worldwide reputation for the excellence of its advice and execution in financial markets. With over 1,300 offices in 42 countries, the firm is truly global and a market leader in the U.S, Europe and Asia as well as in Emerging Markets. We provide institutions and individuals with almost every kind of financial product and service across all the world’s major markets.In 2000 the Institutional Securities division established an operations team in Glasgow with just 6 employees. Since then our office has grown to over 1000 employees across 6 divisions: Read more […]
Compliance Officer (AVP level)
You will be involved in providing compliance advisory on regulatory matters and issues. You will provide compliance inputs on transactions and products and will conduct post-trade regulatory compliance surveillance reviews. Key requirements: – good degree with at least 5 years’ experience in securities, futures and FX – familiar with SFA, FAA, CTA and exchange rules – candidates with audit, compliance or operational risk background preferred – good communication and interpersonal skills
Compliance Examiner – Member Regulation, Sales Practice
Job Summary: Examiners review or investigate risk areas of broker-dealers, and allegations of wrong-doing or other non-compliant conduct to protect investors and ensure the integrity of the U.S. financial markets. This position requires excellent analytical and communication skills, consistently high productivity levels and work quality (frequently under tight deadlines), and a strong commitment to ensuring that the securities industry operates fairly and honestly. Essential Job Functions: Conducts examinations and other reviews related to FINRA member firms’ finances Read more […]