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Business Unit Compliance Officer
The ideal candidate will provide advice, training and monitoring relating to the front office, partner with front office and other logistics and control functions to issue spot, identify and manage regulatory and reputational risk. Responsibilities Business Unit Compliance • Coverage responsibility for Prime Services including Futures clearing and execution • Integrate compliance requirements of new rules and regulations including Dodd Frank • Identify Key Risks and Improve Control Framework • Provide Advice and Training to Sales and Trading and Execution • Leverage Partnerships Read more […]
Anti Money Laundering Compliance Officer (AMLCO)
Reporting to the Chief Compliance Officer, the AMLCO will be responsible for leading the firm’s AML program including managing the firm’s fraud investigation activities, training, development of and enhancement to AML related Written Supervisory Procedures, regulatory exams and due diligence related to AML Fraud related activities.Key Skills Responsibilities:Overall responsibility for the firm’s AML Program. The AMLCO will ensure that the firm has AML Compliance procedures which are reasonably designed to achieve and monitor the firm’s compliance with regulatory requirements including Read more […]
Compliance Advisory – Financial Markets
The role sits within the Compliance Advisory team covering Financial Markets. The senior compliance professional sought will provide regulatory compliance support in particular for the sale of OTC financial products. The role holder will interact daily with Senior Managers and will answer any queries coming from the trading team.The role holder will work alongside with the team on identifying any regulatory changes affecting the UK entities and ensure the necessary processes and controls are in place. They will also participate in different projects related to TCF, RDR and Interest Rate Derivatives.The Read more […]
Senior Compliance Manager
Senior Compliance Manager – 6 Month Interim An exciting opportunity has come up for an experienced compliance professional working for a boutique, London based financial services firm specialising in investment and mortgage based products working as their Interim Senior Compliance Manager. As the Senior Compliance Manager you will be largely responsible for maintaining knowledge of regulatory developments, maintaining and developing the compliance monitoring plan and conducting regular monitoring of compliance for all products. You will have recent experience liaising with official bodies such Read more […]
Compliance Officer
This is a newly created position and you will play an integral part in overseeing a diverse range of compliance issues related to the HK Investment Banking business. The RoleReporting to the Team Head, you will be fully responsible for:Conducting surveillance for sales trading activities of various business lines including equities trading and derivative warrantsReviewing marketing materials of investment products to ensure compliance with relevant legislation and guidelinesKeeping abreast of new regulatory changes and development and ensuring compliance awareness across other business unitsParticipating Read more […]
Compliance Monitoring and Surveillance
The role will report into the Head of Compliance Monitoring Surveillance, the incumbent will play a key role in proactive identification and assessment of compliance risks across the Bank’s business, designing and implementing compliance controls with the aim to identify and address actual or potential risksIt will be across the entire range of products including Credit, Rates, treasury and Foreign Exchanges, Asset Finance, Energy Infrastructure Finance, Leverage Commodity Finance, Debt Origination Distribution The role has a mixture of three elements:*Identify and map conduct risks: to liaise Read more […]
Compliance Officer Roles – Top Tier Asset Manager
The Client:One of the largest and most established asset management firms in the world, serving individual and institutional investors across the globe.The Roles;Compliance Associate (Compliance Monitoring): Up to £40,000 p.a.The main focus of the role is to assist the existing team in providing compliance support to the European Distribution, and European fund structures.The main responsibilities will be for ensuring that the assigned monitoring activities, marketing review activities and information analysis activities are performed on a timely basis and for maintaining quality of own delivery Read more […]
Head of Compliance required by International Financial Markets Infrastructure organisation
This role will be our clients first senior UK hire reporting into the Global Chief Compliance Officer based in New York and will be expected to establish the UK compliance function from scratch. The successful must have a legal background or have had an education within the law for example.Key responsibilities:• Monitor and report results of all compliance, ethics and supervisory related efforts of the client• Provide guidance to the client and their Board on matters relating to Compliance. This will include assessing compliance risks and implementing guidance on the implementation of compliance Read more […]
Manager Financial Crime Compliance, Sanctions
Manager Financial Crime Compliance, SanctionsHSBC who we areWith over 7,200 offices in 85 countries, we are the leading international bank, delivering services and products to around 89 million customers worldwide. We combine extraordinary global reach with in-depth, hands-on local knowledge. That means we can provide people from different cultures and walks of life with the financial support they need. The support that helps them live the life they want.A world of opportunityHSBC is a global platform for careers. We currently employ well over 300,000 people around the world. Given the breadth Read more […]
Manager Financial Crime Compliance, AML Wealth Management
Manager Financial Crime Compliance, AML Wealth ManagementHSBC who we areWith over 7,200 offices in 85 countries, we are the leading international bank, delivering services and products to around 89 million customers worldwide. We combine extraordinary global reach with in-depth, hands-on local knowledge. That means we can provide people from different cultures and walks of life with the financial support they need. The support that helps them live the life they want.A world of opportunityHSBC is a global platform for careers. We currently employ well over 300,000 people around the world. Given Read more […]