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VP-Head of Bank Compliance Testing
Position Description Morgan Stanley seeks a senior level compliance officer to lead the bank compliance testing function. Skills Required Position responsibilities:• Lead the planning and execution of the testing program for Morgan Stanley’s two U.S. banking entities. The testing is focused on assessing compliance with applicable federal banking rules and regulations as well as bank policies and procedures. • Manage a team of bank Compliance testing personnel who are charged with executing the U.S. Bank’s compliance testing program. •Coordinate with other professionals in the organization, Read more […]
Bank Compliance Testing Associate
Position Description Morgan Stanley seeks a compliance testing associate to execute compliance testing covering bank regulations including Transactions with Affiliates, Regulation O, anti-tying and other Federal banking regulations. Skills Required Position responsibilities:•Perform compliance testing with applicable federal banking rules and regulations as well as bank policies and procedures covering banking products. Escalate and work to closure any issues identified. •Communicate testing results, present identified issues to the business, work with the business to develop and implement Read more […]
Bank Compliance Testing Associate-Retail
Position Description Morgan Stanley seeks a compliance testing associate to execute compliance testing covering non-mortgage high net worth lending and deposits. Skills Required *Perform compliance testing with applicable federal banking rules and regulations as well as bank policies and procedures covering non-mortgage banking products. Escalate and work to closure any issues identified. •Communicate testing results, present identified issues to the business, work with the business to develop and implement a plan of corrective action, and prepare written reports. •Track of the status of the Read more […]
Senior Mortgage Compliance Officer / Private Bank
Position Description General Job DescriptionMorgan Stanley seeks a senior level compliance officer supporting the Mortgage Division Compliance Head of Morgan Stanley Private Bank, N.A. overseeing all compliance activities and affairs of residential mortgage lending. Emphasis will be on regulatory advice relating to the residential mortgage origination and servicing operations, and oversight of third-party service provider.Position Resposnsibilities• Serve as business partner to mortgage lending division providing compliance advice and guidance on federal and state regulations including TILA, Read more […]
Compliance Manager (AVP)
Country compliancePrivate Banking and Merchant BankingGood team cultureMy client is a globally revered international bank with a respected and consistent brand presence across the world. Reporting into the head of compliance this is a highly visible role working across the businesses Private Banking and Merchant Banking sectors. This is an all encompassing compliance opportunity, looking over all country compliance matters including sanctions and AML/CDD. You will be providing key advisory to the business when need and taking charge of the annual monitoring plans, along side this you will Read more […]
Compliance Advisory Manager
Our client, a global private bank is looking for a compliance advisory manager to provide advice, guidance and support to their front office. The individual would help to develop and maintain regulatory standards to enhance and protect the reputation of the firm.Duties Include:Liaise with and provide guidance to the front office on compliance issuesProvide detailed compliance advice and guidance in relation to existing and new business initiatives.Ensure that the business maintains the requisite regulatory standards by following internal policies and external UK and overseas regulatory guidelines.Develop Read more […]
Head of Compliance | Asset Management
World Renowned Asset Manager seeks a Compliance Officer to assist with the build out of investment management capabilities for its office in Malaysia. The role will have Regional coverage and they will relocate candidates with Malaysian regulatory knowledge.Compliance Officer RoleResponsible for ensuring the company’s compliance with securities laws, regulations and relevant guidelinesLiaise with external parties including the regulator and the appointed Shariah Advisor.Responsible for preparation/submissions of regulatory reports to the Securities Commission Malaysia.Advise and report directly Read more […]
Compliance Officer
Candidate must have experience in the daily compliance functions of an SEC-registered investment adviser with significant experience in the review of performance information and track records and the drafting of policies and procedures. Candidate will assist in creating, testing and revising procedures to ensure that the firm is in compliance with applicable laws and regulations. Candidate must be with familiar the Investment Advisers Act of 1940 and related SEC regulations. Candidate will assist in preparing for SEC examinations and coordinate with internal groups in the collection of audit Read more […]
Corporate Policies & Procedures Compliance
The ideal candidate will ensure that corporate policies and procedures are designed to be compliant with relative rules and regulations of global businesses and shared service functions, support business strategies, and promote sound business and shared service practices. Additionally, this individual is responsible for ensuring that all corporate policies and procedures are accurate, clear-cut, presented consistently and uniformly, and easily identifiable and accessible. Finally, this individual is responsible for ensuring that corporate policies and procedures are periodically reviewed for Read more […]
Prudential Compliance Analyst
This elite branded wholesale and private banking group offer a great opportunity for an academically strong compliance analyst to help during a major change period in terms of prudential reporting. You will help in the design of a wide range of prudential reporting, creating innovative and efficient ways to gather and report on key information. You will also help in the transition of primarily spreadsheet reporting to a far more integrated and automated system. Great prospects, very attractive salary, benefits and bonus package and even the possibility of overseas postings in the future. Read more […]