Advert Detail: Compliance Monitoring Manager recruitment
Our client, a leading investment banking organisation, are currently recruiting for a talented and highly motivated Compliance Monitoring Manager. The successful candidate will be reporting to the Head of Compliance Monitoring and duties will include: • Assisting in the preparation of the annual risk-based Compliance Monitoring Plan and maintenance of the supporting compliance risk assessment framework • Executing Compliance Monitoring Reviews or specific Regulatory Testing, including – o analysing applicable regulatory requirements o developing Compliance Monitoring review programmes Read more […]
Compliance – Anti-Money Laundering – Analyst/Associate recruitment
BUSINESS UNIT OVERVIEWThe Anti-Money Laundering/Suspicious Activities Group (“AMLSAG”) has primary responsibility for the execution of the firm’s enterprise-wide AML compliance program and, among other things, performs enhanced due diligence and sanctions list screening processes, as well as surveillance designed to identify potential terrorist financing, money laundering or other suspicious asset movements. The Know Your Customer (“KYC”) team is responsible for developing and implementing the firm-wide Customer Identification Program (“CIP”) and conducts enhanced due diligence on Read more […]
MLRO x 2 – Global Investment Management Firm (Jersey/Guernsey) recruitment
The OpportunityDue to further growth, our client has a rare opportunity for two experienced Money Laundering Reporting Officers to join their Channel Islands operation. Reporting directly into the Head of Compliance for the Channel Islands, you’ll have full responsibility for ensuring procedures for the prevention of money laundering for all regulated license holders based on-site. The MLRO role itself is a broad one covering a variety of business areas (please call to discuss). In terms of regulatory obligations, you’ll be handling the receipt of any suspicious activity reports from the relevant Read more […]
Registrations, PA Dealing, Gifts and Entertainment recruitment
The central or core compliance function of a major investment bank is in a sense the engine room of en efficient, well-managed compliance function. It requires a mixture of technical knowledge, time management and razor sharp administration skills, deft relationship skills and sound judgement and decision making skills.The recent bribery act means that regulators will be taking a keen interest in the quality and timeliness of this function and this bank for one is giving it the status and recognition it deserves by creating these new roles at relatively senior levels.If you have experience of Read more […]
Compliance Advisor – Sales and Trading recruitment
ResponsibilitiesProvide day-to-day advisory service to Cash sales and trading, Emerging Markets, Program Trading and the Derivatives businesses on their various requestsDevelop policies and proceduresProvide support to the rest of the compliance team both regionally and globally on various project initiatives that are underway or in planning from both a compliance perspective as well as those initiated by the businessAssist in ensuring that all relevant policies and procedures are employed in the relevant sales and trading businesses across the firmWork with the rest of the European securities Read more […]
Compliance Monitoring – Life Insurance – Contract recruitment
This will include including monitoring, challenging and reporting on the adequacy and effectiveness of policies, procedures and controls put in place to ensure compliance with relevant business and regulatory requirements.Responsibilities include:Undertake risk-based monitoring reviews across a wide range of areasEnsure that trends and lessons learnt from monitoring activity are shared across the business/societyKeep abreast of best practice and external developments in the area of monitoring and ensure that learning is applied.Provide regular, timely, relevant and concise reports on the findings, Read more […]
Information Security Compliance Officer recruitment
We are looking for a budding Information Security Compliance Officer to join our client to ensure that information security residual risks are managed and controlled.This is a fantastic opportunity to join a large and growing group and to really enhance your skill set. You will be working closely with the Information Security Compliance Manager to internally audit best practice and mandatory standards such as ISO 27001 / CCCC 55 and PCIDSS.Candidate requirement include: An auditing qualification or the equivalent of three years auditing experience A CISSO or ISEB in Information Security Management Read more […]
Compliance Manager-Monitoring recruitment
Compliance Manager – Monitoring – LondonMy client, a large investment bank, is seeking a Compliance Manager to join their team in London on a permanent basis. The successful candidate will be carrying out compliance monitoring activities to ensure the business is operating in line with current laws, regulations, codes and the group standards.Responsibilities:Build close relationships with both advisory team and the business.Prepare compliance risk assessmentsPrepare monitoring plansCarry out monitoring fieldwork/ desk reviewsTrack and follow up actions identifiedProvide regular updates on progress Read more […]
Quality & Risk Manager recruitment
A professional services organisation are looking to hire a Quality and Risk Manager to act as a specialist consultant for their internal risk team and the wider firm to act as an advisor on all aspects of quality, regulatory compliance and risk management.In order to meet the client’s requirements you will be an experienced compliance/risk management who has experience of working within a law firm or professional services firm. Alternatively you could be a qualified solicitor with sound experience within this area.You will demonstrate a good working knowledge of current regulatory best practice Read more […]
Legal Officer – Corporate Finance/Project & Infrastructure Finance Group recruitment
The DepartmentThis position will support two of Moody’s key lines of business, the Corporate Finance Group (CFG) and Project Infrastructure Finance (PIF).CFG has responsibility to manage portfolios of high profile corporate investment grade and non-investment grade issuers based in the EMEA region.PIF is responsible for rating debt issued by public and private infrastructure issuers and electric, gas and water utilities. Such issuers include project finance entities that are limited to a special purpose by law, regulation, or contracts, as well as infrastructure and utility companies not contractually Read more […]