x2 Associate/ VP – Financial Crime Analytics recruitment
Assist with the management and development of the global anti financial crime coordination programme Relationship management with key business areas and infrastructure stakeholders that are key dependencies for successful financial crime analysis Critical review diverse data sources to identify sources of risk indicators to feed the ongoing development of anti financial crime analysis Responsible for ongoing data sourcing and management (e.g. quality assurance, analysis, and the production and distribution of Management Information). Analysing and filtering industry information, and undertaking 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 […]
Head of Control Room Compliance recruitment
Responsibilities: Managing the control room function Maintaining the firms Watch / Grey List and Restricted ListManaging a team of 5 individualsProviding advice in relation to wall crossingsInteraction and coordination with the other regional Control Room officesManaging UK and other regional Takeover Panel restrictions and coordinating with line of business Compliance on requesting Exempt Principal Trader and Exempt Fund Manager exemptions from the Takeover PanelConducting training to Control Room and line of business associatesMain point of contact for interaction with regulatorsRequirements:Extensive Read more […]
AML Due Diligence Associate recruitment
Responsibilities: Conduct enhanced due diligence reviews on higher risk clients including analyzing source of wealth, beneficial ownership and other risk relevant informationConduct risk assessments through the performance of investigative internal research using a variety of internet and third-party sourcesLiaise with external third party vendors to undertake enhanced due diligence/background analysis of prospective/existing clientsDaily surveillance of clients accounts for anomalous, high risk or negative informationLiaise with various members of the KYC, Operations, Technology teams, external Read more […]
KYC / AML Analyst recruitment
Duties:Undertaking KYC reviews ensuring compliance with the AML framework relating to KYC.Reviewing information currently held on due diligence files;Reviewing classification of the client;Obtaining outstanding information from the client as and when required;Experience required: Recent AML / KYC experienceExperience in dealing with higher risk customers, products in jurisdictions such as the Middle East and Africa is essentialExperience in working for a smaller institution is desirableFor further information and details about this opportunity, please contact Rowan Mollison in the first instance Read more […]
Regulatory Monitoring and Testing Leader recruitment
Main responsibilities will include: • The goal of the role is to provide on-going and objective oversight of activities with a view to detecting non-compliant activity at the earliest possible stage. Specific attention to policy compliance, functional governance and regulatory standards• Use qualitative and quantitative approaches to establish adequate management information, key reports and metrics to measure compliance with standards, policies, procedures and regulations• Own all documentation detailing results of activities including background information, scope, Read more […]
Crime Compliance – Monitoring Officer 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 and bribery corruption 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 Officer for Europe, the Candidates responsibilities will include, but Read more […]
Senior Manager – Compliance recruitment
Our client is a global asset management company who is currently looking to recruit an interim senior manager – Compliance, UK Distribution.The successful candidate will work with UK Distribution, Group Compliance and Internal Audit to provide reasonable assurance of Distribution’s compliance with its regulatory obligations and the effectiveness of the control environment. Duties include;-To provide advice on all relevant regulatory matters across all areas of UK Distribution and work closely with senior management on any compliance issues that may arise. -To coordinate with the Head of Compliance Read more […]
Reporting and Governance Leader recruitment
Due to continued expansion, this leading global Financial Institution is looking for a Reporting and Governance Leader to ensure that European Mortgage and Restructure Group is prepared for increased regulatory oversight considering existing bank regulatory practice and guidance and evolving potential future supervisory requirements and expectations.Main responsibilities will include: • Identify, prioritize, monitor and manage regulatory readiness/business improvement projects, ensuring right resources, timing and sequence of projects• Report progress and status of regulatory Read more […]
Compliance Officer -FICC Compliance Team recruitment
The role is in the EMEA FICC Compliance Team providing primary Compliance support to the following business areas:Structured Credit TradingStructured LIBOR TradingStructured EM TradingComplex Structured Products FICC StructuringPrivate Side StructuringAdditional Compliance support would be required for the other business areas:Macro Trading SalesIB Treasury TradingETD Fixed IncomeGroup TreasuryCompliance Support will require the following:- Advice on transactions, new business initiatives and other Compliance issues to the above business areas as required ensuring that business and product development Read more […]