Search Results
AML Compliance Officer
Position Description The Legal and Compliance Department’s UK AML Group, which is based in London, is charged with day-to-day oversight and coordination of the AML and Sanctions Program covering all businesses including Institutional Sales and Trading, Private Wealth Management Business, Investment Banking and Investment Management across the EMEA region. A need has arisen for an individual to provide support to the existing AML team.The candidate will report to the Deputy Head of AML for the EMEA region and will be a part of a ten member team.The candidate will have a good understanding of the Read more […]
Interim Compliance Manager
Job Title: Interim Compliance ManagerType: ContractRate: £550 day rate Location: London An exciting opportunity has come up for an experienced compliance manager working for a financial services firm who focus around investment and mortgage based products. You will be the Interim Senior Compliance Manager. As the Senior Compliance Manager you will be responsible for maintaining knowledge of all regulatory developments specific to the business, maintaining and developing the compliance monitoring plan and conducting regular monitoring of compliance for all products. The ideal candied will have Read more […]
Senior Regulatory Compliance Manager
Senior Regulatory Compliance Manager – London Retail BankA leading retail bank inLondonis seeking a Senior Regulatory Compliance Manager to add to the strength of the Compliance Department in a role that will encompass strategy, planning, compliance expertise and team management. Responsibilities: Lead a group of high calibre managers to perform at their best by setting objectives that are closely aligned to the Compliance plan and coaching and developing them.Enhance the compliance culture across the organisation by managing effective relationships with business areas and stakeholders at every Read more […]
Business Analyst – Front Office Compliance/Policy – Information Barriers/Chinese Walls
The keys areas of focus for the business are around: Physical and system access, Clear Desk policy, “Need-to-Know” policy and conflict clearing. To be successful candidate will have: Strong stakeholder management experience with a community of Senior Front Office stakeholders, experience of defining process tools and methodologies for managing regulatory change, an Analytical mind-set and ability to identify opportunities and be able to contribute to any process improvement ideas.
Financial Crime Compliance Change Management – Senior Project Manager/Team Leader
The role will primarily focus in the area of International Sanctions however may be extended to include other areas of Financial Crime Compliance as required. Responsibilities • Managing the performance, behavior and on-going personal development of the Compliance Change Management Team. • Delivery of major change projects or workstreams within a major business change programme in accordance with project management methodology and tools. • Ensuring the projects for which they are accountable are aligned to, and deliver against, the programme objectives, business strategy and achieve Read more […]
Anti Money Laundering Compliance Officer
The ideal candidate will be responsible for implementing/amending policies, procedures and internal controls designed to achieve compliance with Anti-Money Laundering rules and regulations. Responsibilities: • Investigating and responding to various types of AML focused regulatory inquiries, and, actively participating in regulatory examinations. • Coordinating AML surveillance results and inquiries with appropriate business line management and team members. • Responsible for assisting with identifying and reporting potential money laundering activity as required by Anti-Money Laundering Read more […]
Compliance Monitoring Manager / Investment Banking & Markets
Our client, a global financial institution is looking for a Compliance Monitoring Manager to join their compliance team and help in ensuring that the business meets its regulatory obligations. The individual would also help in identifying and mitigating risks across the business and help promote a proactive regulatory culture.Duties Include:Regularly assess the adequacy and effectiveness of policies and procedures in place to monitor the business.Review work undertaken by the risk assessment process to ensure that it is line with the firm’s business practices and methodology.Promote awareness Read more […]
Retail Compliance Officer
With best practice in regulation at the forefront of their endeavours, they are looking for a candidate who has worked in a banks retail compliance function (or Big 4 consulting , advising retail clients, or an ex-FSA Retail Supervisor) to join their compliance function.You will have oversight for the banks businesses’ compliance functions – managing and mitigating regulatory risks, undertaking investigations into control breaches that have regulatory impacts on the business and supporting the implementation of the banks compliance conformance team review activities.You will need to demonstrate Read more […]
Compliance Advisory
They are looking for an individual who has good experience facing off to the business and has a good understanding of the commercial aspects including the reputational Risks. You will be dealing with a variety of clients including Sophisticated Retail clients.Experience Required: 5+ years Compliance experience, including advising the Front OfficeCompliance experience in an investment bank Experience of Rates and/or Foreign Exchange products Experience of developing policy, assessing risks, conflicts, implementing procedures, training, monitoring, review of products or transactions, conducting Read more […]
Compliance Advisory Manager
A member of the CBD Compliance Team, which provides technical advice on either business or change programme activities across the Division. Supports the Advice team by:Supporting the CBD business in achieving its strategic goals through delivering specialist, consistent and clear advice to key business, change and functional initiatives across the Division.Independently provides timely and accurate written and/or verbal guidance, advice and challenge in relation to compliance matters across the CBD businesses.Delivering technical support, advice and guidance on non-standard issues and responds Read more […]