Guideline Monitoring / Mandate Compliance Manager

An exciting new role in guideline monitoring/mandate compliance has arisen in a well know investment management firm following the hire of a new senior member at CxO level.You will own the function and have full responsibilities for completion of embedding Aladdin following a successful migration as well as management of a team in the UK and offshore.This is a fantastic opportunity for someone with advanced technical and management experience knowledge to work in a front office facing role Responsibilities:* Management of a team of 7 in the UK and off shore* Ownership of the guideline monitoring/mandate Read more […]

November 14, 2013 • Tags: , • Posted in: Financial • No Comments

Sales and Operations

Join Santander as an Auditor and you’ll be joining a diverse and growing team that provides tangible commercial impact across our entire business. You’ll be responsible for leading audit reviews as well as performing assessments of key risks and controls within the sales and operational areas of the Bank.Santander’s Internal Audit Division is a global operation comprising more than 900 people across the world, and its Audit Reports reach the highest levels of management. The Santander UK Internal Audit Team of around 85 people is a high-quality audit function that provides independent, objective Read more […]

November 13, 2013 • Tags: , • Posted in: Financial • No Comments

GCC Compliance Officer, AVP

In this role, you MUST have GCC experience. You will be reporting to the Head of Regional Compliance, also based in Dubai. Your daily tasks will include, but will not be limited to: Working closely with the Head of Regional Compliance in developing and implementing compliance policies for the Middle East offices Handling all compliance and regulatory affairs, as well as keeping up-to-date with all changes in laws Assisting in establishing and maintaining anti-money laundering policies Providing training in regards to compliance and AML for staff The successful candidate should hold the following Read more […]

November 13, 2013 • Tags: , • Posted in: Financial • No Comments

Vice President

In this challenging role, your daily tasks will include but will not be limited to: • Handling all Saudi Arabia’s Banking Association correspondences including follow up, translations and coordination • Coordinating with external auditors on the semi-annual Internal Control Review Audit mission • Monitoring compliance procedures related to KYC, trainings and reviews • Participating to the validation and establishment of new deals and products • Reviewing complaints, testing adherence to compliance requirements and conducting trainings (AML and Compliance) The successful candidate Read more […]

November 13, 2013 • Tags: , • Posted in: Financial • No Comments

Compliance Officer, Junior ( DIFC )

This role is a brand new position, where you will be starting the compliance role from scratch. In this role, you will join a small but growing team and be the sole person in charge of all the compliance activities. NOTE: this is not a senior role. You will be the sole compliance person, however, as the office is small, the role will not include management or very senior responsibilities. The successful candidate should hold the following skills: Min. 2-3 years’ experience in compliance Ideally, experience in private banking Experience with DFSA regulations Fluent in English, Russian or French Read more […]

November 13, 2013 • Tags: , • Posted in: Financial • No Comments

Compliance Analyst

This is an exciting opportunity for a Compliance Analyst to join a large, multi-national financial services institution based in the Sydney CBD Office.Reporting to a Senior Manager and working closely with a team of Compliance professionals, you will be responsible for managing and delivering on Compliance specific projects.Key functions of the role include:reviewing, updating and implementing compliance policies and proceduressupporting and training various business units on a wide range of compliance related issues including AML and KYC issues, legislative changes etcdriving enhancements to existing Read more […]

November 13, 2013 • Tags: , • Posted in: Financial • No Comments

GTB Market Advocacy Client Strategy

Job Title: GTB Market Advocacy Client Strategy Corporate Title: Assistant Vice President / Vice PresidentDepartment: Global Transaction BankingLocation: London Global Transaction Banking (GTB) is a world-class provider of cash management, trade finance and trust and securities services for corporations, governments and financial institutions.At peak levels, GTB processes payments worth up to 1.4 trillion Euros per day and, as of March 31, 2012, is the number one Euro clearer and a top-six US Dollar clearer with more than 60% of overall revenues are generated from clients outside Germany.Key Responsibilities:In Read more […]

November 13, 2013 • Tags: , • Posted in: Financial • No Comments

Compliance Training Officer

Compliance Training Officer – Investment BankA leading International bank in London is seeking a Compliance Training Officer with a broad understanding of FCA regulatory requirements as they apply to wholesale banking to implement a risk based Compliance Training Plan covering core UKand European regulatory developments, produce compliance training literature and attend relevant compliance, regulatory and industry forums. Responsibilities will include:Designing, coordinating and implementing a risk based Annual Compliance Training Plan to capture Compliance and Financial Security Training including Read more […]

November 13, 2013 • Tags: , • Posted in: Financial • No Comments

Thematic Monitoring Compliance VP

Our client is a top tier, truly global Asset Management firm that work with both institutional and retail clients. They are currently looking for a Thematic Monitoring VP to join their established Compliance Department. The Thematic Monitoring team develops and delivers a risk-based regulatory compliance monitoring program across the EMEA business. Key Accountabilities Include: Spear-heading the team’s identification and mitigation of critical areas of conduct risk Mentoring junior team members and encouraging their development Liaising with the Head of Thematic Monitoring to ensure the continuous Read more […]

November 13, 2013 • Tags: , • Posted in: Financial • No Comments

Regulatory Development Analyst

This position will assist the EMEA Regulatory Development Policy Manager and will monitor regulatory developments relating to the business, draft regulatory development briefings, newsletters, policies and procedures necessitated by regulatory developments, and track regulatory developments; and communicate regulatory developments to stakeholders. Candidate should have the following skills and experience: -Extensive regulatory experience working in a banking environment. -Strong interpersonal and communication skills. -Reliability, conscientiousness and ability to produce work of a high quality. Read more […]

November 13, 2013 • Tags: , • Posted in: Financial • No Comments