Compliance Officer, Wealth Management recruitment
Compliance Officer, UK Private Wealth Management Corporate Title: Vice President Based in London, this role involves all aspects of compliance work for our clients Private Wealth Management business in the UK, including advice, advocacy, product vetting, communications review, training and surveillance and monitoring controls and AML as part of our comprehensive program for achievement and maintenance of compliance with UK laws and FSA regulations as well as the global, regional and local policies, standards and procedures, with the mission to protect the interests of clients and the integrity Read more […]
COMPLIANCE OFFICER – PRIVATE BANK – UAE recruitment
Key responsibilities of the role include:-Deal with all compliance and regulatory affairs and liaise with the local regulators; Advise on changes of local laws/regulations and indicate its implication in internal policies/procedures -Develop and implement compliance monitoring programs and identify needs for further enhancements-Analyze and monitor client complaints-Training of employees on internal procedures, guidelines and legal regulatory requirementsThe successful candidate will:-Have a minimum of 2 years experience with a top tier bank in the UAE-Have a sound knowledge of MS Read more […]
Compliance Officer – AVP (Based in Jersey) recruitment
OVERVIEWJ.P. Morgan serves one of the largest client franchises in the world. Our clients include corporations, institutional investors, hedge funds, governments and affluent individuals in more than 100 countries. J.P. Morgan is part of JPMorgan Chase Co. (NYSE: JPM), a leading global financial services firm with assets of $2.1 trillion. The firm is a leader in investment banking, financial services for consumers, small business and commercial banking, financial transaction processing, asset management, and private equity. A component of the Dow Jones Industrial Average, JPMorgan Chase serves Read more […]
Compliance Officer
Compliance Officer – AML/KYC JobSenior Manager AML CIP/KYC is responsible for leading, implementing, executing and updating programs relative to the Customer Identification Program (CIP) and Knowing Your Customer (KYC) to ensure on-going compliance with the BSA, AML legislation as well and OFAC sanctions. The role will cultivate relationships across all GECA Platforms to deliver credible and consistent regulatory compliance support for the organization s products and services. Essential Responsibilities – Responsible for the overall leadership of GECA AML CIP/KYC Program – Oversee Customer Identification Read more […]
Compliance Officer – Control Room recruitment
Main Responsibilities To ensure that any potential conflicts of interest are dealt with in accordance with the Conflicts of Interest Policy and are referred, as appropriate, to the relevant manager and within Compliance as appropriate To advise on the application of the Conflicts of Interest policy, and maintain the SGLB register of conflicts. To undertake appropriate conflicts checks ahead of new deals taking place, where required, and that appropriate and prompt notification of the results of the conflicts checks is made to the relevant business lines, once the conflict checks are completed Read more […]
Compliance Officer
Are you looking for a new challenge in compliance while further advancing your career? Marine Credit Union Enterprise invites you to consider joining our progressive financial institution during this exciting time for our organization! We are a full service Credit Union enterprise offering financial, insurance, and lending services for our members. Based in beautiful La Crosse, Wisconsin, with locations throughout the Tri-State area, Marine Credit Union offers a range of financial services through its Community Banking locations, Insurance Services to members and the general public via Marine Read more […]
Compliance Officer – Financial Planning and Advice – $90
Robert Walters risk management and compliance team is looking to recruit a compliance professional with audit/vetting experience for an opportunity with a major financial planning and advice firm.Our client is seeking a compliance officer to work as part of a small team of internal auditors with experience working with financial advisers, completing adviser reviews and effectively communication results to all relevant stakeholders. This is an excellent stepping stone into a large financial planning organisation, with the potential to build a career within the well respected compliance function.Key Read more […]
Compliance Officer – Derivatives & Futures recruitment
Day to Day Responsibilities Include: · Respond to regulatory matters related to NUSA and, in this regard, train and assist other members of the Compliance team concerning regulatory requests, training, and regulatory examinations. · Conduct Desk Reviews and Branch Reviews in accordance with the Compliance Program. · On-going implementation of the Department’s Permanent Supervision program, liaising with both the Heads of Compliance for the region and Operational Risk in the region. · Oversight of issues including maintaining Conflict of Interest Policy and Personal Trading Policy. · Read more […]
Compliance Officer – Asset Management recruitment
My client, the alternative asset management arm of an international banking house, is looking for a Compliance Officer with solid knowledge of (international) regulations to implement a Compliance structure. You will work in close co-operation with Senior Legal Counsel and enjoy great visibility in the group. The perfect opportunity for you, if you have a law degree, speak German fluently and ready to take your Asset Management-Compliance career to the next level.Your responsibilities:Developing and implementing the compliance practice and ensuring its execution.Formulating and monitoring internal Read more […]
Compliance Officer – Fixed Income Advisory – (Contract) recruitment
Main Responsibilities Advising on compliance and regulatory aspects of new products and participate in New Products CommitteeProactively maintain relationships and open communication with, and actively promote Compliance in front of, business lines and other control functions, providing support where necessary to address compliance requirements at earliest opportunityActive participation in the process of maintaining the risk cartography, ensuring that the inherent regulatory risks posed by business activity are determined, the mitigating factors assessed to determine the residual risk and Read more […]