New Business Conflicts Analyst
The ResponsibilitiesUnderstanding, and reviewing a variety of corporate finance transactions (including MA, Equity Capital Markets, Debt Capital Markets, and Global Syndicated Finance) for conflicts of interest, including:Conducting conflict checks by searching various databases, and analyzing hits with the view to identifying potential legal, regulatory, compliance and or reputational risks.Working with Legal, Compliance and the business to resolve identified risks in a timely and efficient manner.Managing files independently and conferring with senior members within the team on complex conflict Read more […]
Dodd-Frank, Futures, Swaps
• Surveilling, auditing and monitoring the Firm’s futures activity (financial futures, index futures, energy) and fixed income security activity (Corporate, Treasury, ABS and MBS, Agencies, Repos, etc.) • Familiarity with Dodd-Frank OTC derivatives regulation and swaps generally a plus. Work on the Firm’s project to establish a Swap Execution Facility (“SEF”) will be substantial. • Familiarity as well with equity activity (stock, preferred, convertible, options) is a plus. • With regard to all products, the ideal candidate will be familiar with, and will work towards ensuring Read more […]
Financial Crime Compliance Change Management – Senior Project Manager/Team Leader
The role will primarily focus in the area of International Sanctions however may be extended to include other areas of Financial Crime Compliance as required. Responsibilities • Managing the performance, behavior and on-going personal development of the Compliance Change Management Team. • Delivery of major change projects or workstreams within a major business change programme in accordance with project management methodology and tools. • Ensuring the projects for which they are accountable are aligned to, and deliver against, the programme objectives, business strategy and achieve Read more […]
Anti Money Laundering Compliance Officer
The ideal candidate will be responsible for implementing/amending policies, procedures and internal controls designed to achieve compliance with Anti-Money Laundering rules and regulations. Responsibilities: • Investigating and responding to various types of AML focused regulatory inquiries, and, actively participating in regulatory examinations. • Coordinating AML surveillance results and inquiries with appropriate business line management and team members. • Responsible for assisting with identifying and reporting potential money laundering activity as required by Anti-Money Laundering Read more […]
Operational Risk Snr Associate
By developing relations with the front office your role will be identify key risk issues that face the business, to support the CRO office in assessing the internal control environment and to work with senior management in looking at risks associated with heightened regulatory demands. We are seeking a operational risk, internal audit or compliance candidate who is looking to transition into a role that offers widespread front office product exposure and the opportunity to interact with senior stakeholders. Strong personality skills are required.
Compliance Monitoring Manager / Investment Banking & Markets
Our client, a global financial institution is looking for a Compliance Monitoring Manager to join their compliance team and help in ensuring that the business meets its regulatory obligations. The individual would also help in identifying and mitigating risks across the business and help promote a proactive regulatory culture.Duties Include:Regularly assess the adequacy and effectiveness of policies and procedures in place to monitor the business.Review work undertaken by the risk assessment process to ensure that it is line with the firm’s business practices and methodology.Promote awareness Read more […]
Retail Compliance Officer
With best practice in regulation at the forefront of their endeavours, they are looking for a candidate who has worked in a banks retail compliance function (or Big 4 consulting , advising retail clients, or an ex-FSA Retail Supervisor) to join their compliance function.You will have oversight for the banks businesses’ compliance functions – managing and mitigating regulatory risks, undertaking investigations into control breaches that have regulatory impacts on the business and supporting the implementation of the banks compliance conformance team review activities.You will need to demonstrate Read more […]
Regulatory Change Management Business Analyst
Responsibilities: Manage deliverables under the FATCA Institutional Client Classification and verification workstreamDevelop project plans and manage implementation, including milestonesRisk issue escalation, management and resolutionDraft requirements documents and develop consensus around deliverablesWork with BAU teams to identify, assess and enhance processes and procedures for successful FATCA implementationCreate training materials and assist with training deliverySet and manage realistic expectations for successful delivery among stakeholders in Business and Operations project teamsAssure Read more […]
Client Services/ KYC Analyst
Responsibilities:Liaise with internal business stakeholders (e.g. relationship managers) to assist in the gathering of relevant documentation for the purposes of setting up new client accountsPerform KYC due diligence checks in line with AML/CTF policy requirements, including enhanced due diligence where requiredLiaise with Operations team to facilitate client account set upAssist the project manager with the on-going development of a client services functionWhere required, proactively participate in the review and updating of existing client filesPlan and execute risk mitigating proceduresSkills Read more […]
UK Applications Associate
Our clients range from start-ups to large firms with well-established track records and utilise a broad array of investment strategies and styles such as: long only, long/short equities, global macro, credit, distressed, bank debt, fixed income, private equity, venture capital, real estate-related and fund of fund strategies. We are looking to hire someone to join our Regulatory Transactions Team in London, where the successful candidate will be responsible for project managing clients FCA applications. On a daily basis this will include providing advice to a range of clients on compliance and Read more […]