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Senior Compliance Officer/Associate General Counsel
An elite and global financial services firm is seeking an experienced attorney to join its team as a senior compliance officer/associate general counsel. The successful candidate will report directly into the Chief Compliance Officer and will be primarily responsible for the development, implementation and maintenance of the firm’s international trade, AML, and anti-trust/corruption programs.Minimum Requirements Include:-JD from top university-8 to 10 years of relevant experience-Prior experience building out a compliance program-Strong understanding of legal and regulatory frameworksTo find out Read more […]
Senior Compliance Manager, AML Wealth Management
A global banking group require a Senior Financial Crime Manager to join their Wealth Management Business. The bank are one of the most recognisable and well regarded brands in banking. They offer an exceptional working environment and are very compliance forward in their company culture The Wealth management AML team are an advisory function that support the business offering advisory across across all disciplines on AML, ABC, CTF Sanctions Issues. This role will lead a team in delivering high quality advice specific to this business unit. As a Senior Manager you will support the lead on Read more […]
Business Compliance Manager
Role: Business Compliance Managercompany: Large Investment BankLocation: City of LondonSalary: Upto £90,000Role:Keep up to date with business developments, the compliance risk profile of the business and management’s risk appetite, Meet regularly with the Investment Banking business unit’s. To track significant regulatory developments specific to Investment Banking and (regulatory developments relevant to the Bank more generally are tracked by Central Compliance) and provide information and training on these to the Investment Banking.Requirements:Candidates MUST have experience of working Read more […]
VP Compliance Advisory Electronic Trading
The candidate should have experience and a strong working knowledge of US equity markets and rules and regulations relating to electronic trading including but not limited to the Market Access Rule, Trade Reporting rules, Reg ATS, Reg NMS and Reg SHO. Responsibilities will involve all aspects of compliance support, including advising and providing guidance to the Electronic Trading Platform of a sophisticated full service broker/dealer oriented toward Institutional domestic and international clients. Additional responsibilities will include a role coordinating with foreign affiliates on Read more […]
Principal Compliance Auditor
for our clients. This is made possible by our people: agile minds, able to see beyond the obvious act effectively in an ever-changing global business landscape. As you’ll discover, our culture supports this. Diverse, international and shaped by a variety of different perspectives, we’re driven by a shared sense of purpose. At every level agile minds are rewarded with competitive pay, support and the opportunity to excel. Named the “Best Global Investment Bank“ in Euromoney Magazine’s annual Awards for Excellence, Deutsche Bank is a leader in Germany and Europe and is continuously Read more […]
Derivatives Compliance
BlackRock is one of the world’s preeminent asset management firms and a premier provider of global investment management, risk management and advisory services to institutional, intermediary and individual investors around the world. BlackRock offers a range of solutions – from rigorous fundamental and quantitative active management approaches aimed at maximizing outperformance to highly efficient indexing strategies designed to gain broad exposure to the world’s capital markets. Our clients can access our investment solutions through a variety of product structures, including individual Read more […]
Trading & Liquidity Compliance Officer
The Legal Compliance team oversees BlackRock’s compliance with applicable laws and rules, and is responsible for, among other things, establishing legal and compliance policies and procedures that meet applicable regulatory requirements and testing the operative effectiveness of those policies and procedures; overseeing all regulatory matters; coordinating all litigation and legal proceedings; negotiating contracts; and providing compliance training. We are sourcing for a dynamic and enthusiastic compliance professional who functions in an efficient, detail-oriented, and proactive manner. Read more […]
Senior Compliance Manager, Regional Team
An exceptional opportunity has arisen to join a global financial services institution as the Senior Compliance Manager to oversee its thriving operations in the retail and commercial banking businesses. This role offers the opportunity to deputize the Head of Compliance in the management of a group of compliance professional and interactions with various senior management The RoleReporting to the Head of Compliance, you will be fully responsible for:Supporting and providing advice and guidance to regional business on global initiativesOverseeing the implementation of the Group’s compliance Read more […]
Compliance SYD, Private Wealth Management (PWM), Vice President
Position Description Morgan Stanley Australia is currently hiring a seasoned professional to join their Private Wealth Management (PWM) compliance team as Vice President.The main focus of this key role is to assist the Country Head of Compliance for Australia with day-to-day compliance responsibilities in PWM businesses to manage regulatory risk and preserve the Firm’s franchise through assisting the local and off-shore regulated retail businesses to comply with, and monitor for compliance with, applicable laws, regulations, rules, internal policies and procedures, standards and industry best practices.Key Read more […]
Country Compliance Manager
Develop and implement a comprehensive, effective and efficient compliance program that supports and fulfils compliance requirements of BSA, AML Law /regulations, USA PATRIOT Act, US Sanctions Laws, Regulation GG, and other applicable Federal and State laws regulations. Oversee implementation of and adherence to the applicable laws, rules regulations and changes therein. Oversee implementation of AML/OFAC procedures to detect unusual / suspicious activities.Maintain liaison with regulators, external Read more […]