Compliance Manager
Key responsibilities of the role Review the business and identify the areas to be considered for the monitoring program ? Monitoring of various activities including trading, discretionary and non discretionary, products platform, IAM, Introducer relationships etc ? Work closely with CIO office for review and approval of products submitted for CWMIC from compliance perspective. ? Coordination of product approval with Central Bank and SCA. ? Good understanding of AML, Independent Asset Manager Relationships, Wealth Management Products. ? Support Retail business on product approval and wealth management Read more […]
Head of Markets Trade Surveillance, Global Investment Bank
My client is a global investment bank with an increasing geographical footprint in the Asia Pacific. As a result of growth as well as regulatory requirement, they are seeking to hire a Regional Head of Markets Trade Surveillance to join the regional compliance team.Reporting to the regional head of Compliance, you will be responsible for all surveillance matters pertaining to the capital markets business.You will be responsible for building and managing the regional compliance surveillance function and provide leadership and day to day management of the regional team. Working with regional and Read more […]
AVP / VP, Business Management (Operational Risk & Control)
Responsibilities Ensuring a robust and compliant Business Risk Control capability Support the implementation of Risks and Control Framework including Internal Control Monitoring Plans Execute the Risk Assessment Process: Risk Control Assessments scoping, refresh RCA assessments, risk appetite statements Providing coordination and expertise to business teams Maintaining abreast of industry, regulatory and Group developments, communicating these across business partner network, and influencing business implementation of appropriate response. Support the implementation of businesses and bank-wide Read more […]
Senior Transaction Advisory M&A Manager
Required Experience · Proven understanding of the mergers and acquisitions framework in the UK and Europe. Candidates must have focussed on transactions involving financial services companies. · A solid understanding of UK/European regulatory framework for dual regulated firms (both FCA and PRA registered) · Advanced knowledge of the EU Acquisitions Directive · Ability to interpret and analyse complex MA documents to highlight potential risks with an emphasis on Conduct risks (e.g. due diligence findings, business plans, structure, etc.) · Familiarity with challenges faced in post-merger Read more […]
Senior Financial Crime Compliance Officer (Singapore)
Reporting directly to the Head of Compliance key duties and responsibilities of the role are as follows; • Provide advice to the Trade business, which includes Trade Operations, regarding Financial Crime Risk (FCR) risks and controls • Review new and existing Trade products and initiatives, performing an FCR assessment and recommend solutions to address any risks when necessary • Provide guidance to relevant jurisdictions in preparation for Trade FCR regulatory inspections • Review existing FCR controls in Trade to determine their adequacy • Propose revisions to existing controls, incorporating Read more […]
Fraud Prevention Manager
The Global Private Banking (GPB) Risk team is focal point for the prevention, detection and analysis of all types of fraud within the Private Bank. Fraud Prevention provides Senior Management with details of GPB’s efforts to detect and minimize fraud against the Bank and our customers. Weaknesses identified in management and control processes are reported upon, along with the provision of recommendations to limit future potential losses. The Fraud Prevention Manager will provide key support to GPB Fraud Risk team in terms of the following key issues: Training front office staff on fraud risk Read more […]
Head of Central Compliance, RMG, New York
The Risk Management Group (RMG) is an independent, centralized unit responsible for assessing and monitoring risks across Macquarie. This includes market and liquidity risk, credit risk, compliance risk and operational risk. RMG personnel liaise closely with all operating areas to ensure risks are understood and properly managed.Our Compliance Team currently have a requirement for a Head of Central Compliance. The main purpose of the role is to manage the Central Compliance Team and central policies and processes, as well as support our Business Compliance Officers (BCO’s) based with the business.Key Read more […]
Compliance Manager- Electronic Communications, RMG, New York
Macquarie Group (Macquarie) is a global provider of banking, financial, advisory, investment and funds management services. Macquarie’s main business focus is making returns by providing a diversified range of services to clients. Founded in 1969, Macquarie employs more than 13,600 people in 28 countries. At Macquarie we offer you the experience and freedom to grow your career whilst making your mark within a highly successful organization. Key to our success is the entrepreneurialism we encourage in all our people. We give you the opportunity to progress your career as quickly as you can demonstrate Read more […]
Senior Investigator Job
Senior Investigator (Job Number: 1316420)DescriptionThe Global Corporate Security (GCS) Senior Investigator will be tasked with conducting complex confidential investigations for the entire company and its subsidiaries. The primary function of this position is the investigation of any incident or matter that may result in the filing of a Suspicious Activity Report (SAR) with FinCEN. The Investigative Unit of GCS is responsible for protecting the company’s assets and reputation. The Senior Investigator (Sr Inv) is expected to remain current with Bank Policies and Banking Regulations including the Read more […]
Sr Control Manager
Sr Control Manager – Treasury Services Depositary Receipts (Job Number: 1316065)DescriptionOverall responsibility to work with CSD/IS Control and Operations Managers to ensure the control environment across all areas is sound and BNY Mellon business units are meeting client needs . This position will help to prioritize and assess issues, along with coordinating our efforts for material control issues in Treasury Services Depositary Receipts business units. Some of the key responsibilities of this role include: Design, establish and manage sector-wide critical indicator/issue identification and Read more […]