Director, Compliance Monitoring and Testing
DescriptionThe Director, Compliance Monitoring and Testing will be responsible for overseeing all ongoing activities related to the development, implementation and maintenance of the compliance testing program. This person will report directly to the Deputy Chief Compliance Officer. The Director, Compliance Monitoring and Testing will also: • Develop and execute a global testing program designed to evaluate the effectiveness of key compliance controls through routine and/or ad hoc testing to ensure compliance with regulatory requirements and policies and procedures. • Develop and Read more […]
Associate General Counsel
DescriptionThe Associate General Counsel, Senior Compliance Officer will assist with oversight of ongoing activities related to the development, implementation and maintenance of international trade, anti-money laundering, antitrust and anti-corruption programs (collectively, “Compliance Risks”). This person will report directly to the Deputy Chief Compliance Officer. The Associate General Counsel, Senior Compliance Officer will also: • Develop and maintain Compliance Risk programs and assist corporate functions and business units to address such risks. • Develop policies and procedures Read more […]
Senior Lawyer E*TRADE – Global Wealth Legal
ANZ Global Wealth and Private are 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 and 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, disability, sexual Read more […]
Senior Lawyer, Dispute Resolution – Global Wealth & Private Bank
ANZ Global Wealth and Private Banking are 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 and strategy, there is a real sense of excitement about the future. The possibilities are endless.We are currently looking for an impressive commercial litigator to take up a Senior Lawyer role in the ANZ Global Wealth Private Bank Dispute Resolution Team. As a Senior Lawyer you will provide legal advice to clients across the Global Wealth and Read more […]
Funds Lawyer – Luxembourg (In
Funds Lawyer – Luxembourg (In-House)About the Role:The Luxembourg office of this international organisation plays a major part in its operations, offering clients high value-added services extending from custody to securities lending, fund administration, performance measurement and ratings, and bond issuance services. As part of its development strategy, they are currently looking for a Funds Lawyer.As a Fund Services Lawyer, you will report to the Global Head of Legal primarily supporting the Asset and Fund Services division of the organisation.This entity was created expressly to provide Read more […]
FATCA Programme Manager
Our client, a City of London based Wealth Management firm are seeking a FATCA (Foreign Account Tax Compliance Act) Programme Manager / Project Manager to deliver a FATCA Programme. This is a newly formed role, due to the need to have signed an agreement with the United States Internal Revenue Service (IRS) by 2013. You will be a project manager / programme manager with proven skills to deliver a FATCA programme. You will report to the COO who is overseeing the FATCA programme for the Group and, responsible for ensuring that the Group is FATCA compliant. The client has operations in the UK, Read more […]
Compliance Advisory Manager
We are looking for an experienced and qualified compliance professional to supplement the existing team, and to support and assist the business unit in fulfilling regulatory compliance obligations. The candidate should have demonstrable experience in providing compliance support for the sale of OTC financial products to clients, including Mid-Market, SME and retail client clients.Key skills and responsibilities;Provide day-to-day BAU advisory support and assistance, including reviewing new products and initiativesHands-on, proactive and timely advice on regulatory rules/requirements to business Read more […]
Executive Director, Operational Risk (EMEA)
OverviewThe team provides a centralized view of all control functions, and thereby assists in immediate, real time problem detection and escalation.The EMEA Oversight Control Group assumes an oversight and consolidating role for the region, partnering with the control officers and their regional teams, as well as the Central Control Team, Risk and Compliance to deliver the function objectives of the investment bank.The Operational Risk team is responsible forActive oversight of operational risk (OR) for the Firm across EMEA.Oversight and providing assistance to senior management to identify, quantify Read more […]
Compliance Monitoring
The candidate will have: 3+ years financial services experience Detailed knowledge of relevant legislation and rules (FCA, CCA, BC) An understanding of general Private and Investment banking terms, and Capital Markets products. Please apply to Ben, contactable on 0203 589 9275 or at Benjamin.harrison@jcwresourcing.com Please note that JCW Search is operating as an employment agency for the purposes of this vacancy.
AML Monitoring, Inquiries and Investigations Analyst
Position Description — Assists with compliance with USA PATRIOT Act and Office of Foreign Assets Control sanctions requirements.– Resolves surveillance items flagged as potentially suspicious transactions or exceptions.– Investigates potentially suspicious activity arising from account surveillance, branch escalations and Grand Jury Subpoenas. Drafts and assists with filing of Suspicious Activity Reports.– Conducts due diligence searches in various third-party and internal databases.– Reviews and monitors client accounts for potential matches to designated sanctions targets and prohibited Read more […]