Compliance Analyst – Leading Hedge Fund – London recruitment
We operate under US, UK and EU regulatory legislation and successful candidates will be required to be intimately familiar with all three jurisdictions.Key responsibilities and accountabilities: To help conduct and document the monitoring and testing of reviews of internal Compliance processes to ensure adherence to regulations and internal policiesTo regularly review the compliance programme to ensure relevant rules and regulations are covered appropriately.To perform comprehensive testing of processes to ensure that US, UK and EU regulatory requirements are satisfied.To report potential Read more […]
Compliance Analyst – Exchange recruitment
A highly regarded exchange are looking for a Compliance Analyst to join their team in London. This is a progressive business that are leaders in their field and have reported an increase in trading volumes year on year. This is a fantastic opportunity for a junior (2+ year) individual to broaden their exposure to a wider remit of activities.The role of the compliance analyst will be varied, however expected tasks will include -The planning and implementation of the monitoring programmeReviewing internal compliance policy.Managing participant’s service requirementsWorking with other teams (eg Read more […]
Compliance Analyst – SKYC recruitment
JP Morgan Chase is seeking Customer Care Analyst – User Support and Analytics – SKYC shared services, responsible for supporting business users of a major Compliance application. As a Customer Care Analyst, will be responsible for delivering quality support to business users by providing them with a single point of contact to report problems and make inquiries to maximize the overall user experience. You will respond to calls, live chat and email to conduct problem determination with the customer, while using documented procedures and available tools. You will interact with users and co-workers Read more […]
Compliance Analyst – Hong Kong recruitment
Reporting directly to the Head of Legal and Compliance HK, the successful candidate will be responsible for managing compliance and regulatory issues relating to the Company across Hong Kong, China and a number of Asia Pacific Regions.Candidates must be educated to degree level, have considerable experience working within a similar role in multinational financial institutions (preferably asset management and/or hedge funds), and have excellent spoken and written English and Chinese (Cantonese/Mandarin).They must also be able to demonstrate a solid understanding of the following areas:• Licensing Read more […]
Compliance Analyst – Hedge Funds recruitment
Job Responsibilities Purpose of the roleThe position will provide support to the Asia Pacific COO. Ensure daily work in accordance with regulations set out by the Hong Kong Securities Futures Commission (SFC) and other applicable jurisdictions within the Region. Daily interactions are primarily with the Head of Trading, all traders and trading operations personnel. Key accountabilities• Conducts company’s trading oversight programme in the Region• Obtains and filters relevant data from in-house trading systems and data repositories for daily compliance monitoring analyses and exceptions Read more […]
Compliance Analyst – Monitoring and Testing, Taiwan – 2 years Contract Role recruitment
This position will support JAPA (Japan, Asia Pacific Australia) regional Compliance Monitoring and Testing team in implementing the local market compliance monitoring program and continually enhancing its effectiveness. This person will perform periodic review of the business processes, review the outcome of business self testing programs performed by lines of Business to ensure adherence to all regulatory requirements. This person will report directly to the JAPA Regional Compliance Senior Manager and has a dotted reporting line to the local Market Compliance Officer.Responsibilities • To Read more […]
Compliance Analyst, AML & KYC – AVP recruitment
MAJOR RESPONSIBILITIES: • Core Compliance areas are:• New business Risk assessment and KYC process• Ongoing review of policies and procedures in line with corporate and local legislative requirements• AML Risk Assessment for all new Funds/Clients• Collation of KYC documentation• Escalation and ongoing monitoring of High Risk Funds• Presence on internal Deal team calls• Review and understanding of new business products / opportunities and the inherent risks involved• In-depth review and analysis of jurisdictional requirements and application to book of business.• Anti Money Laundering Read more […]
Compliance Analyst – Asset Management – URGENT recruitment
Our client is a Major Tier 1 Asset Manager currently recruiting a Compliance Analyst with strong report writing skills and strong knowledge of the FSA Handbook. �Key Tasks:�Assist in ensuring proper documentary evidencing for anti money laundering purposes�Liaise with client services to review all customer due diligence documents for new accounts and present to the Money Laundering Reporting Officer for sign off�Conduct sanction screening (including PEP screening) for all new business relationships and review and negative news hits on an ongoing basis�Due diligence reviews on underlying Read more […]
Compliance Analyst, Enhanced Monitoring Team recruitment
Position Description:The Company Wellington Management is one of the world’s premier investment management organisations. We are a global, privately owned firm that is 100% focused on managing money for institutional investors and mutual fund sponsors. We are headquartered in Boston with ten affiliate offices in the United States and around the world.We have a diversified, balanced, and growing business. Our clients are based in over 40 countries – more than one third of them are domiciled outside the US – and in total they have entrusted us to manage over US$650 billion of their assets. On their Read more […]
Compliance Analyst / Business Analyst / Consultant recruitment
A leading City based Consultancy, are actively recruiting for a team of Compliance and Regulatory Reporting professionals within their Regulatory and Compliance function.Upon successfully obtaining the role, applicants will take ownership of analysis activities for a number of regulatory initiatives including FinRep, CoRep and Basel III activities, in addition to Financial Crime, AML and Sanctions related work.The successful applicant will have deep knowledge of FSA and European Banking Regulations, and should have a background either working for one of the regulators or financial services industry.Any Read more […]