Private Banking
Review Private Banking Clients’ Account Opening Documentation for adequacy, Legal and Regulatory Compliance Liaise with and Support Relationship Managers and their Assistants to complete required documentation, explain and clarify documentation requirements KYC review of Client Documentation as per regulations and internal policies To execute account opening processes across the various systems and activate the Accounts To provide prompt, accurate and quality service to internal clients Key Features of the Role Review Co-Approve Account opening based on documents submitted by Relationship Managers Ensure Read more […]
Compliance/AML Officers- Private Banking ( 1 year contract)
Proactively assist the management in its prime responsibility of complying with relevant•review of clients’ profiles.Review the client adoption and Know Your clients policies/procedures, including the•staff training, client due diligence, client reviews and transaction monitoring.Ensure appropriate compliance arrangements are in place including compliance policies,regulations to ensure that the Bank is able to conduct its business within applicable laws,directives, rule and regulations, and in accordance with the Bank’s Group PolicyGeneral Role Description• Key Features of the Role•626/regulatory Read more […]
VP – Group Regulatory Compliance
VP – Group Regulatory Compliance – Retail Banking and Cards – LondonMy client, a global banking group, is seeking a VP-level Compliance Manager to join their team in London on a permanent basis. The successful candidate will be working with colleagues within the group centre to deliver compliance risk management processes to mitigate any regulatory financial risk. This is a very high profile role that will be dealing with Managing Director level stakeholders within the business and as such will be a very visible position. You will need the gravitas and communication skills to challenge and have Read more […]
Manager, Trust Administration
You will provide prompt, excellent and professional services to clients so as to maximize time-cost fees, further injection of assets and cross referral of business to other group’s entities. You will actively review the existing relationships and trust annual fees in relation to the time spent on administration and assets under management and with a view to identifying new opportunities. You will maintain the Group’s internal control and audit standards and will ensure that all new and existing accounts are maintained in accordance with the Group standards and procedure. You will also Read more […]
QA Lead
The canididate will need the following essential skills:· Significant experience in Quality Assurance/Health Check roles and/or leading QA teams· Technology knowledge and expertise· Experience of Quality Frameworks and Management· Customer and service orientation to support interaction with team resources and clients· Performance and productivity oriented to drive quality Programme performance and delivery within DB· Previous program and project management experience· Experience Read more […]
Internal Auditor, Regulatory Risk (Conduct Risk)
Internal Audit, Regulatory Risk (Conduct Risk)Join Santander as an Auditor and you’ll be joining a diverse team that provides tangible commercial impact across our entire business. You’ll be responsible for leading audit reviews as well as assessments of management and control risks within the areas of regulatory risk.The Santander UK Internal Audit team of 85 people is a high-quality audit function that provides independent, objective opinions on how risks are managed to the highest levels of management.Our ideal candidate will currently be working for a Financial Institution with specific exposure Read more […]
Business Manager, Risk Reporting & Assurance
London or Edinburgh Operational Risk, Reporting, HR EnvironmentReporting to the COO, you will have a strong understanding of Group policies, excellent project management skills and the ability to communicate at all levels.KEY RESPONSIBILITIES:Develop robust processes to ensure compliance with Group wide governance and assurance requirements, specifically in relation to SIAP, Code staff, Asset Protection Scheme (APS) In-Scope population, Executive Performance Assessment.Undertake assurance projects utilising project methodology to ensure delivery requirements to key bodies e.g. Remuneration Committee, Read more […]
Senior Lawyer
Permanent Position Join a High Performing Team Sydney Based 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 regional bank. Connected by integrity and clarity of strategy, there is a real sense of excitement about the future. The possibilities are endless.We believe a vibrant, diverse and inclusive workforce is a business advantage. We support our people to progress and value the unique perspectives, experiences and skills of all employees regardless of gender, age, cultural background, Read more […]
Compliance Manager, Asset Manager
The Group Compliance Department in London has two sub teams: (1) Investment Process Compliance Team (IPC); (2) Regulatory, Reporting and Monitoring Compliance Team (RRM)The key responsibilities of the Compliance Manager’s role in RRM are as designated from time to time by the Head of RRM, including but not limited to:Primary (two thirds):As a manager to be involved in and contribute to the tasks assigned to the RRM team. As directed this will include the following aspects of the compliance monitoring programme:taking a lead role in Read more […]
VP
Working as part of a new team consisting of a few projects across Asia Pacific. The program scope focus on technical aspects of the production of regulatory reports produced by Operations for regulators across APAC.The new Change Management Team will collaborate with Operations BAU and line teams Subject Matter Experts, IT, Sourcing, Compliance and Ops Regulatory, Control Risk Management , Ops COO Business Management to achieve several program objectives:Increase automation rate in production of regulatory reports.In turn, improve controls and reduce risks associated with regulatory report production.Reduce Read more […]