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Portfolio Compliance Analyst/Mutual Funds
Job ID: 13562Position Description: A Portfolio Compliance Analyst is responsible for auditing client accounts to ensure compliance with applicable rules. Responsibilities include analysis of transactions and portfolio holdings with respect to mutual fund regulatory requirements and prospectus guidelines. Analyst researches compliance issues and participates in various ad hoc projects involving frequent interaction with clients, as well as Account and Portfolio Management. Analyst is also involved with process improvements, scenario analysis, and technology testing. Routine compliance analysis and Read more […]
Senior Compliance Team Manager
***PLEASE NOTE THAT MY CLIENT ARE NOT LOOKING FOR INDIVIDUALS WITH INVESTMENT BANKING OR WEALTH MANAGEMENT EXPERIENCE. MY CLIENT ARE LOOKING FOR INDIVIDUALS WITH RETAIL OR CORPORATE BANKING EXPERIENCE***Purpose of the role:This is an exciting senior compliance manager contract opportunity where the successful candidate will be leading one of the Advice teams providing advice to either the business or to change programmes across the CBD businesses and central functions. Supports the Head of Compliance within the Corporate Banking Division by:Leading, motivating and developing a diverse team of Compliance Read more […]
Controls & Compliance Manager
Excellent, high profile opportunity to suit strong people manager with excellent knowledge of the UK regulatory regime and proven process improvement/change management experience gained from the financial services industry. The preferred candidate will ideally come from a securities or corporate finance house, investment firm or relevant trade body, or regulatory organisation and will demonstrate proven experience of leading and motivating diverse teams in a change environment. A good understanding of regulation/compliance or control functions attention to detail is essential and will be complemented Read more […]
Bank Regulatory Compliance
Description • Manages compliance efforts for the Company as they relate to Fair Lending and other banking regulatory and policy requirements. • Performs ongoing monitoring and testing for compliance with consumer financial protection laws. • Analyzes existing and proposed legislation and helps businesses develop and implement procedures to meet these requirements. • Validates controls or project plans to facilitate compliance with laws, rules and regulations. • Assists with implementation or risk-based monitoring and testing programs. • Performs ongoing statistical analysis Read more […]
Compliance Consultant 3
Job Description Wells Fargo Funds Management Group (FMG) is the 11th largest mutual fund family in the US with over $220 billion in assets under management. FMG falls under Wells Fargo Asset Management division of Wholesale Banking. We are seeking a Compliance Consultant for the Risk and Compliance department to assist with distribution compliance of complex products including 3c funds, hedge funds, hedge fund of funds, and LUX SICAVs. The individual will be responsible for the following items:- Provide compliance and regulatory advice regarding complex product specific requirements, Read more […]
Senior Compliance Officer
This challenging role is broad and will provide a rewarding challenge to an all round professional with a hands-on mentality. You will be responsible for advising and providing guidance relating to compliance to different business areas.The ideal candidate will have the following profile:5-8 years of professional experience as a Compliance Officer in a financial institution in SwitzerlandExcellent understanding of the complexity of the financial services regulatory environment in SwitzerlandSound product knowledgeAbility to communicate effectively at all levels within the businessUniversity degree Read more […]
Compliance Testing Reviewer
Responsibilities:Establish effective and optimal Test Plans for the country by ensuring that the Compliance Testing plans are risk based per Operational framework for Asia-Pacific Compliance Testing, covering key Compliance risk areas and trends based on inputs from the Business Seniors, Regional and Global Compliance and Product Compliance as well as other trends/themes from the CARA and KPMG risk assessment.Responsive to current events and issues and modify the Testing program where required to address topical pressing issues. Interact with other Testing, Control groups like IA, ERM and in Business Read more […]
Compliance Officer, Private Banking, Zürich, EN/DE
This is an exciting position which will allow an experienced Compliance Officer to further develop their career in a highly professional and dedicated team. In this position, you will take on a wide variety of responsibilities, such as:Providing advice on international compliance issues and regulations to the Investment AdvisorsMonitoring of regulatory requirements and relevant legislationsDeveloping compliance trainings and internal policiesParticipating in various projectsThe successful candidate must have a strong educational background in law and gained 3-5 years of professional experience Read more […]
*Banking* Senior Compliance Manager
Responsibilities:-Oversight of the banks businesses’ Compliance functions management and mitigation of regulatory risk -Direct activity and resource to undertake special investigations into major control breaches that have a serious regulatory impact on the business -Reporting responsibilities -Previous experience working in a compliance role in a major financial services firm, regulator or professional services firm -A wide knowledge of financial markets, current regulatory issues as well as expertise in the key product areas for retail financial services; -A high-level of understanding of all Read more […]
Compliance Manager (3-5+ yrs) – Financial Services
Responsibilities:Keep abreast of developments in regulatory requirements and industry practices, and advise management accordinglyProvide compliance advisory support to business unitsIdentify inadequacies and weakness in systems and controls of Compliance and Company functions and suggest improvementsCarry out yearly tracking (business process reviews and compliance audits) to ensure that the Company complies with rules and regulations as well as with the company’s policies and internal control procedures.Check that documentation is vetted in compliance with various regulatory requirementsMaintain Read more […]