Compliance Officer and Deputy Money Laundering Reporting Officer recruitment
My client a Boutique Investment Management firm based in the West End is currently hiring for DMLRO role. The candidates suited to this position will have broad exposure to Compliance including strong knowledge of AML and Financial Crime. The responsibilities of this role will include:Creating and Implementing the Compliance Plan in conjunction with the Head of Compliance.Implement a Compliance monitoring program, documenting and reporting the findings.Carry out reports and in the case of non-compliance escalate to the Head of Compliance.Act upon areas of weakness as found in the compliance Read more […]
Business Compliance Leader recruitment
This is a key leadership position within the UK Compliance function and the roleholder will be expected to deputise for the UK Head of Compliance as required. The role is based in Hammersmith.The Business Compliance Leader will ensure that we comply with regulations and legislation relating to our business and that the GE Spirit Letter standards of integrity are fully embedded.As a Business Compliance Leader your main responsibilities will involve:• Providing compliance and regulatory leadership to business initiatives, programmes and projects• Driving effective identification and management Read more […]
Senior Compliance Manager recruitment
A Big 4 Retail Bank is seeking a Senior Compliance Manager. The Senior Compliance Manager will be required to lead a team of managers, setting objectives aimed at the working to the framework of the Compliance plan as well as coaching and developing the team.ResponsibilitiesThe successful candidate will be responsible for building upon the understanding and requirements for Compliance within the team and within the organisation by developing and managing effective relationships at all levels. This will include formal stakeholder engagement, including identification and escalation of Read more […]
Head of Wholesale & Commercial Financial Crime recruitment
Lead a team of financial crime specialists within the Risk Division to embed requirements for and provide oversight of, all necessary risk management activities in respect of financial crime risks within the Wholesale and Commercial Divisions. Manage the interface between the Risk Division and the Wholesale, Commercial businesses and relevant Business Unit Control Functions (BUCFs) in respect of compliance with Group requirements for:Anti-Money Laundering and Counter Terrorist Financing;Sanctions; andAnti-BriberyBuild a relationship with the Wholesale and Commercial businesses to ensure that the Read more […]
Compliance Manager, Monitoring (Global Markets) recruitment
Role: Compliance Manager, Monitoring (Global Markets)Purpose of the jobReporting to the Global Markets Monitoring Team Leader, the jobholder will be required to carry out independent compliance monitoring activities across Global Markets in order to obtain reasonable assurance that the business is operating in line with relevant laws, regulations, codes and HSBC Group Standards.Responsible For• Carry out thorough preparation and high-quality monitoring fieldwork / desk reviews, achieving agreed timelines and providing regular updates on progress to the Team Leader. • Using existing templates, Read more […]
Compliance Manager – Regulatory Developments recruitment
Global Investment Manager is looking for a Compliance Manager for their Regulatory Developments area.Overview of role:Keeping track of developments in regulatory requirements, industry codes of practice and internal policies.Reviewing, assessing and advising on publications from FSA and central bank of Ireland and relevant EU bodies. Reviewing material produced by trade bodies and keeping abreast of current industry thinking.Assisting with updating relevant manuals and procedures in response to changes in regulation or industry developments.Providing training on changes to relevant policy or procedures 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 Manager needed at Corporate and Retail Bank recruitment
My banking client that has a long standing international presence in corporate and retail banking is looking to hire several Compliance professionals that have worked extensively in quality assurance to ensure the bank’s customers receive fair outcomes in all their interactions. As a Compliance manager, your responsibilities will include: – Develop and execute compliance reviews on the effectiveness of compliance controls in the business and the fairness of customer outcomes. – Carry out regulatory and conduct risk assessments, gap analyses and challenges of business monitoring plans – Provide Read more […]
Compliance / Regulatory Consultant recruitment
This top Consultancy firm are seeking an experienced Compliance / Regulatory professionals to join their Financial Services Regulatory Practice.You will work with a number of well known Financial Services firms on various projects. You will hold an autonomous role which will involve providing advice and guidance in regards to Regulatory and Compliance issues to senior management. You will also get involved in Solvency II and other high profile and upcoming Compliance, Governance and Regulatory projects.The right person for this role will have strong Compliance / Regulatory experience gained from Read more […]
Crime Compliance – Due Diligence recruitment
Position description, responsibilities and reporting linesUK Financial Crime Compliance supports RBC Capital Markets and International Wealth businesses to manage financial crime risk including money laundering, terrorist financing, economic sanctions, bribery corruption and fraud through advising, monitoring and investigating adherence to relevant regulatory rules and industry standards. The candidate will be responsible for providing coverage to both Capital Markets and International Wealth.Under the supervision of the Group AML Fraud Officer for Europe and Asia, the Candidates responsibilities Read more […]