Senior Compliance Officer
This challenging role is broad and will provide a rewarding challenge to an all round professional with a hands-on mentality. You will be responsible for advising and providing guidance relating to compliance to different business areas.The ideal candidate will have the following profile:5-8 years of professional experience as a Compliance Officer in a financial institution in SwitzerlandExcellent understanding of the complexity of the financial services regulatory environment in SwitzerlandSound product knowledgeAbility to communicate effectively at all levels within the businessUniversity degree Read more […]
Legal Counsel (1-5 years PQE)
UBS Wealth Management is looking to employ an individual with legal and financial services experience to investigate and handle client complaints. A contentious background in law / complaints handling would be helpful to the role, as would sufficient knowledge and understanding of financial services’ business and the principles relating to Treating Customers Fairly. The individual will be a member of a Complaints Handling Unit and report into the Head of the Unit which forms part of the Disputes Resolution Team in the Legal and Compliance department. However, the role will require the individual Read more […]
Compliance Testing Reviewer
Responsibilities:Establish effective and optimal Test Plans for the country by ensuring that the Compliance Testing plans are risk based per Operational framework for Asia-Pacific Compliance Testing, covering key Compliance risk areas and trends based on inputs from the Business Seniors, Regional and Global Compliance and Product Compliance as well as other trends/themes from the CARA and KPMG risk assessment.Responsive to current events and issues and modify the Testing program where required to address topical pressing issues. Interact with other Testing, Control groups like IA, ERM and in Business Read more […]
Compliance Officer, Private Banking, Zürich, EN/DE
This is an exciting position which will allow an experienced Compliance Officer to further develop their career in a highly professional and dedicated team. In this position, you will take on a wide variety of responsibilities, such as:Providing advice on international compliance issues and regulations to the Investment AdvisorsMonitoring of regulatory requirements and relevant legislationsDeveloping compliance trainings and internal policiesParticipating in various projectsThe successful candidate must have a strong educational background in law and gained 3-5 years of professional experience Read more […]
*Banking* Senior Compliance Manager
Responsibilities:-Oversight of the banks businesses’ Compliance functions management and mitigation of regulatory risk -Direct activity and resource to undertake special investigations into major control breaches that have a serious regulatory impact on the business -Reporting responsibilities -Previous experience working in a compliance role in a major financial services firm, regulator or professional services firm -A wide knowledge of financial markets, current regulatory issues as well as expertise in the key product areas for retail financial services; -A high-level of understanding of all Read more […]
Compliance Manager (3-5+ yrs) – Financial Services
Responsibilities:Keep abreast of developments in regulatory requirements and industry practices, and advise management accordinglyProvide compliance advisory support to business unitsIdentify inadequacies and weakness in systems and controls of Compliance and Company functions and suggest improvementsCarry out yearly tracking (business process reviews and compliance audits) to ensure that the Company complies with rules and regulations as well as with the company’s policies and internal control procedures.Check that documentation is vetted in compliance with various regulatory requirementsMaintain Read more […]
Senior Lawyer, Outsourcing Governance
14 Month Fixed Term Contract Join a High Performing Team Melbourne CBD Location ANZ realises that our greatest asset is our people. We are vibrant professionals on a journey to create a super regional bank that aims to be the best connected and most respected bank in the Asia Pacific region. ANZ is currently connected across 32 countries and provides world class learning opportunities and compelling career pathways for its people.We’re exploring new and better ways to progress the business with energy and enthusiasm. Backed by a proud and established heritage, we’re on a journey creating a super Read more […]
GFTS Compliance Tech
Responsibilities:Project manager position will be responsible for rolling out E-2-E reconciliation, HRAC, EWRA related regulatory projects.Project Planning, Execution and ControlEnsure milestones and activity details are agreed and signed off by stakeholders.Partner with project managers and stakeholders to support major global initiatives.Define and ensure appropriate project governance, methodology, and best practices.Manage risks/issues, ensure corrective actions and ownership is defined in a timely manner.Support objective and standardized project reporting.Resource and Budget managementManage Read more […]
Administration Assistant, Company Secretarial
A motivated and enthusiastic team member is sought for a junior support role within the Company Secretarial Division’s information requests team. You will be responsible for receiving and processing requests for company information from a range of external parties, including solicitors and administrators, courts, police and other statutory authorities. Key responsibilities:Receiving information requests via email, e-fax and formal service Searching company records for relevant information Responding to requesting parties by phone and in writing Dealing with business units which may hold information Read more […]
Risk Reporting Consultant
As a Risk Reporting Consultant you will be joining an established team who have raised their profile internally in recent years and are now enjoying increased investment from the business.This well rounded role will see you accurately and efficiently manage the ThinkFolio rule breaches on the firms range of funds, monitor funds daily to ensure they conform to the relevant regulations investment restrictions, as required, review test the pre/post trade rules for all the FI, cash, equity other fund types, ensure that TF system breaches are investigated, assist in resolving Mandate Adherence TF Read more […]