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IT Compliance Specialist
– Manage the day-to-day IT compliance management processes to track and monitor various IT compliance initiatives across AIG (Federal Reserve examination, SOX, other regulatory examinations, audits, self-assessments, standards and exceptions, etc.).- Work with corporate and business unit IT compliance representatives to analyze, communicate and articulate Federal Reserve requests, audit and self-assessment issues/findings.- Manage IT compliance management tracking processes and lead projects with ITGRC technology specialists to develop, and expand tools. Provide leadership for developing enterprise Read more […]
Head Legal & Compliance
Head Legal ComplianceIn dieser verantwortungsvollen Position zeichnen Sie verantwortlich für die Umsetzung sämtlicher bankenrechtlichen und regulatorischen Vorgaben und vertreten die Bank gegenüber den externen und internen Aufsichtsorganen. Sie agieren als Sparring Partner des Managements und beraten die einzelnen Abteilungen aktiv in allen juristischen und compliance-bezogenen Fragen und Problemstellungen aus dem nationalen und internationalen Vermögensverwaltungsgeschäft (inkl. Behandlung juristischer Fragestellungen im Zusammenhang mit der Beratung von vermögenden Privatkunden und Produkten). Read more […]
Compliance Manager
ResponsibilitiesMaintain an effective compliance and control system within the companyProvide legal and compliance advice on existing and new products/businessesEnsure all trading entities comply with relevant regulations and requirementsIdentify any key compliance risksDevelop policies, procedures and process to allow the business to comply with applicable laws, rules and regulationsHandle all license matters for the company and staffPlan and undertake regular compliance review on business and regulated activitiesReview and /or prepare responses to regulatory inquires and investigationsProvide Read more […]
Analyst/Associate Director Sales Practice Compliance
Influence on the CompanyThis position is important to the success of the organization, particularly as the firm refines its multi-jurisdictional distribution strategy and expands its global presence. The firm’s compliance with the sales practice rules and industry standards both in the US and abroad is critical to the firm’s industry reputation and ultimate success. This position has a direct impact on the ability of the firm’s Global Business Development Group to respond nimbly to sales and distribution opportunities through all channels, including direct sales, consultant relationships, Read more […]
Part Time Compliance Manager
Our client based in the DIFC are looking to recruit a Part Time Compliance Manager for their Dubai office.As Compliance Manager you will act as a key contact with regulatory bodies as well as providing an in-depth knowledge and experience of the relevant rules and regulations. You will review and develop current internal policies and procedures and interact with and present to compliance and front office personnel on relevant issues as and when required. The role will also involve processing new client on-boarding requests, performing KYC checks and account activity reviews.To be considered, Read more […]
AML Compliance Analyst
The ideal candidate for this position has experience with AML compliance requirements and risk-based audits.Key Skill Responsibilities:Coordinating AML surveillance results and inquiries with appropriate business line management and team members.Conducting comprehensive compliance reviews and risk assessments of business activities, practices and controls; identifying and mitigating potential areas of compliance vulnerability and risk, developing and implementing corrective action plans for resolution of problematic issues, providing guidance to business leaders and compliance staff on how to Read more […]
Interim Senior Compliance & Conduct Risk Manager-3-6 Month CONTRACT
Required Experience 5 years minimum experience as Senior Compliance Manager or similar Retail Banking experience is essential: Credit Cards, Retails Lending, Mortgages, etc Desirable Qualifications/Experience: Degree level qualification or equivalent A compliance certificate or diploma from ICA, Cergi, CII or similar For more information or to apply for this role, please contact Jasemin at jasemin.akcay@jcwresourcing.com or call on 02035 899 276
Head of Compliance
A leading multibillion dollar hedge fund that is continuing to expand its operations is looking to hire Global Chief Compliance Officer (CF10/11). We are looking for an experienced compliance chief with a broad range of experiences to help build out the function and develop a small team. Ideally the successful candidate will have experience of structured products, futures clearing custody, and geographical experience with US regulatory and compliance.The role will involve:Managing and develop a team of three staffEnsuring the provision of timely, accurate and commercial regulatory advice to Read more […]
Senior Consumer Compliance Specialist
Position Description General Job Description: Morgan Stanley seeks a Senior Compliance Coverage Specialist to help support the High Net Worth Banking/Lending Compliance Lead’s oversight and administration of the following regulatory and fair lending compliance activities associated with the Morgan Stanley US Banks’ lending products and services: (i) project fulfillment; (ii) monitoring and testing; (iii) advertising, marketing and training material reviews; (iv) fair lending activity coordination; and (iv) advice and guidance.Job responsibilities:• Review business requirement documents, functional Read more […]
Bank Compliance Testing Associate-Mortgage
Position Description Morgan Stanley seeks a compliance testing associate to execute compliance testing covering mortgages. Skills Required • Bachelor’s Degree. MBA or CRCM certification is preferred. • Previous experience with a bank government agency preferred (e.g., OCC, FRB, or FDIC) or in a regulatory, compliance, or internal audit capacity within the banking industry. • Minimum of ten years of compliance and/or regulatory experience, with knowledge of the financial service industry, regulatory requirements, and experience in analyzing business risk and best practices. • Experience Read more […]