Financial Crime Generalist
Joining a very positive, collegiate and stable team, this is an opportunity to gain exposure across multiple business areas in a generalist role to broaden knowledge and expertise. The role will involve but not be limited to: – Full interaction with stakeholders across Investment Banking and Asset Management businesses – Delivering advisory and monitoring across the financial crime spectrum (ABC, AML, Sanctions) – Resolving complex, higher level queries as a more experienced member of the team, when escalated. – Provide support and mentoring to Analysts and AVP’s when required. – Work with the Read more […]
Associate Director Compliance
Role purpose: To develop and implement a compliance framework across both the corporate and funds business that enables strategic insight, is integrated with the fund management process and provides investors and Hastings Board with awareness of the controls/processes in place to manage business risks and the effectiveness of those controls/processes. Key accountabilities of the role: Develop and implement an appropriate compliance and risk management framework that governs Hastings role as manager and its fiduciary obligations to the investors including risk assessment, monitoring and escalations Read more […]
Compliance Business Manager
This is a truly unique opportunity to have directional input across global business functions from a compliance and risk perspective, acting as a facilitator and go-between with senior business heads to make things happen. The role: This is a highly diverse role covering multiple business functions globally. No day will be the same and the results of the work done will be highly visible to the business, offering recognition and satisfaction to the successful individual. The majority of the role will involve supporting the Global COO in development initiatives across the global financial crime Read more […]
Equities Advisory Officer
Following a restructure, the business has broken down its equity division and this role will be focusing on cash equities. You will provide day to day front line advice and compliance support to all cash equity business unitsThis is a fantastic opportunity for someone with advanced technical product knowledge to work on the trading floor in a purely front office facing role.Responsibilities:*Focusing on maintaining the business’s reputation as the leading equity house in Europe*Ensuring the business is kept abreast of all compliance policy’s that effect the equities business by keeping up to date Read more […]
KYC Analyst
The Ideal Candidate will have: Understanding of applicable customer due diligence requirements Experience of executing a KYC role in a corporate or investment banking environment Knowledge and understanding of FSA Rules Knowledge and understanding of EU Directives Knowledge of regulation / market practice in different – Europe, US, Asia Please apply to Ben, contactable on 0203 589 9275 or at Benjamin.harrison@jcwresourcing.com Please note that JCW Search is operating as an employment business for the purpose of this vacancy. Read more […]
Head of Compliance | Securities
Head of Compliance | Securities Location: Singapore Salary: up to 160k SGD + BonusMain Responsibilities for Head of Compliance, Compliance -Head up the compliance function and provide guidance and training to the junior staff -Perform Anti-Money Laundering (AML) related Compliance controls -Provide compliance training to employees and manage ad-hoc compliance related tasks -Ensure that the company is kept abreast of relevant local and regional regulatory and best practice development -Provide advice to business partners (front and back offices) on compliance issues and potential impact of regulatory Read more […]
Senior Compliance Officer (Asset Management)
Major Job Duties: Provide advice to business units and support on the full spectrum of compliance functions with particular focus in the Asset Management and Private Equity businesses, including but not limited to fund set-up and fund documentation, trade compliance, design and implementation of compliance policy, procedures and other compliance controls, and organize compliance training, etc. to ensure that Company’s activities are in compliance with latest statutory and regulatory requirements; Design, review and conduct regular compliance monitoring procedures and checking; Monitor internal Read more […]
Manager, Service Team
The Commonwealth Bank brand is the most recognised brand in the Australian financial services industry. The TeamThe Group Risk – WRM team is responsible for ensuring that the CBA risk framework operates effectively within Wealth Management. This includes providing risk management and compliance support to the Wealth Management divisions covering Colonial First State, Colonial First State Global Asset Management, CommInsure, and WM support functions.The RoleThis role supports the Colonial First State strategy by assisting the business with the implementation of a risk management framework that Read more […]
Senior Analyst, Group Substantial Shareholding Team. Wealth Risk Management
The Commonwealth Bank brand is the most recognised brand in the Australian financial services industry. The TeamWealth Risk Management Shared Solutions (Shared Solutions) provides support to the various WM business lines in the provision of design and implementation skills in the area of Risk Management. One of the teams within Shared Solutions’ is The Group Substantial Shareholding team. Their main focus is monitoring the Group’s substantial shareholding requirements and transitioning the remainder of an initiative to ensure that all the relevant Groups’ holdings are monitored into their team. Read more […]
KYC Analyst
The KYC Analyst will execute steps to ensure that the Know Your Counterparty (KYC) and Customer Due Diligence (CDD) process is completed for Customer and Counterparties. The KYC / CDD process is a key control required by the Group and certain Regulators on the application of the Finance Standards and the Company Code of Conduct in the areas of anti-money laundering (AML) and combating terrorist financing, also supporting the Anti-bribery stance. Requirements: Good numerate degree. Strong analytical/financial skills and the ability to identify cause-effect relationships, patterns, implications Read more […]