Compliance Officer – Transaction Monitoring AND KYC recruitment
Major Responsibilities:Transaction MonitoringAnalyze various transactions using a monitoring system (Norkom) for suspicious/unusual patterns of activityInvestigate these potential high risk activities by researching and liaising with the appropriate internal parties for explanations and discussions on appropriate action Research and resolve items of concern identified through standard activity Monitor and conduct targeted reviews of specific areas of high risk or complexityWhen appropriate, escalate as a SAR recommendationEnsure that all activities are in accordance with internal policies and Read more […]
Compliance Officer – ZRH recruitment
My client is a top-tier Swiss bank currently looking for a high-calibre compliance specialist with 3-7 years experience. As a well established name, the client offers an excellent opportunity to join their expanding team. As a successful candidate you should have a focus on general compliance in private banking and be senior enough to be a sound decision-maker. The ability to speak both German and English is vital as well as a Swiss Law degree.This is an excellent opportunity to join an organization where you will be part of an entrepreneurial and idea driven team. You should be fully qualified Read more […]
Compliance Officer – Trading Floor – FICC recruitment
The role sits within their busy Compliance Division which covers Fixed Income, Currencies and Commodities trading. The firm is continually growing their market share and are positioned for further expansion. They are seen as an employer of choice for ambitious professionals and can offer a dynamic and thriving environment. They are based in the heart of the City, close to transport and amenities. The Role You will be working on the trading floor supporting a range of desks. You will be responsible for: Trade monitoring and surveillanceProviding advice/guidance on rules/regulationsReportingDealing Read more […]
Compliance Officer – Stock Broking recruitment
Essential Experience: You must have worked in or had signifacant exposure to a stock broking / private client business.Significant FSA focused compliance experienceProcess driven and a quick learner – constantly reviewing for areas of improvementExcellent people skills and ability to work with people at all levels and influence othersExposure to CFD’s and Spread BettingIdeally you will have primary markets exposure Responsibilities: Carry out CF10 (Compliance Officer) and CF11 (MLRO) duties – because of the nature of the invitation only clientbase it is a low risk business. Co-ordination Read more […]
Compliance Officer – Bahraini national recruitment
Compliance manager looking at KYC, AML, local regulatory guidelines and in house policy and procedures. Financial services experience and background essential
Compliance Officer – Global Financial Insitution – Geneva recruitment
Our client :A global financial institution with over 200 years of history and over 9000 offices worldwide, our client is not only specialized in wealth management but also is locally present with over 150,000 shareholder and 50 million customers worldwide. Job description:Responsibilities include:Transaction monitoring of new accounts and existing accounts (AML, KYC, cross-boarder, suitability) Due diligence review Understanding and reviewing compliance regulation according to internal and external regulations (FINMA) Ad hoc projectsReporting to the head of compliance Your Profile:You Read more […]
Compliance Officer/Deputy MLRO – Investment Management Business recruitment
The OpportunityOur client is a well established investment management business with operations worldwide. Due to continued growth, the firm has a rare opportunity for an experienced Compliance Officer/MLRO based at their London office. Reporting into the Head of Compliance, you will be responsible for compliance issues relating to the legal services and investment management businesses in London, and the legal services business in Geneva. You will be required to act as Compliance Officer, Deputy Money Laundering Reporting Officer (MLRO) and Data Protection Officer for the two operational entities Read more […]
Compliance Officer – Bournemouth recruitment
The specific role is intended to provide technical regulatory support to the business as well as undertaking monitoring oversight activities. The role will have substantial interaction with the business and other control functions. The position reports to the Head of Compliance. As a member of the Compliance team, the successful candidate will be expected to assist with the following: Establish and maintain a means for the Compliance function to test and evidence third party ongoing compliance with the FSA rules and requirements. Establish and undertake, on an ongoing basis, a means to evidence Read more […]
Compliance Officer/Manager – Trust Company – Singapore recruitment
Job Responsibilities:Regulatory MonitoringDevelop annual compliance work plan and maintain regulatory compliance checklists/control self-assessmentsConduct compliance reviews and investigations; identify lapses weakness and recommend/follow-up on appropriate remedial action to ensure compliance with regulatory requirementsIdentify and assess compliance risks associated with the business activities of the company, including risks in relation to new products, business and client acceptanceMonitor staff training plan and conduct training to promote awareness of regulatory requirementsAnti Money Laundering Read more […]
COMPLIANCE OFFICER – Large shareholder reporting – HONG KONG recruitment
COMPLIANCE OFFICER – Large shareholder reporting (DOI) – HONG KONGMy client, a large international investment bank, is seeking a compliance officer to work within the Compliance Central Services team in Hong Kong. This role will be part of the positions reporting group and you will have regional responsibilities for APAC.Responsibilities:Investigate potential large shareholding disclosures for the APAC regionReview, analyse and submit disclosure filings to local regulators and supervisory bodiesKeep up-to-date with regional regulatory developmentsContribute to industry groups on proposed legislative Read more […]