Compliance Associate
Primary responsibilities include reviewing and approving the firm’s marketing and promotional materials distributed to institutional and retail audiences and serving as a subject matter expert for sales and marketing staff throughout LAM. The Compliance Associate will work closely with our sales and marketing teams to ensure all materials meet applicable firm and regulatory standards. This position requires a working knowledge of applicable rules and regulations and industry standards. The Associate will also be involved in other general compliance activities of the Firm’s Legal / Compliance Read more […]
Compliance Manager
Key Duties:· Develops initiates, maintains, and revises compliance policies and procedures for all IT operational activities within the Compliance Program. Manages day-to-day compliance including: Violations Reporting, Violation monitoring, Appeals and Compliance Training activities.· Develops and periodically reviews and updates Standards to ensure continuing relevance in providing guidance to management and employees.· Collaborates with other departments to direct compliance issues to appropriate existing channels for investigation and resolution. Consults with the legal and/or Human resources Read more […]
Managing Counsel Job
Managing Counsel (Job Number: 1305587)BNY Mellon is a global financial services company focused on helping clients manage and service their financial assets, operating in 36 countries and serving more than 100 markets. BNY Mellon is a leading provider of financial services for institutions, corporations and high-net-worth individuals, providing superior asset management and wealth management, asset servicing, issuer services, clearing services and treasury services through a worldwide client-focused team. BNY Mellon is the corporate brand of The Bank of New York Mellon Corporation. Additional information Read more […]
AS Embedded Cntrl Unit Mgr I Job
AS Embedded Cntrl Unit Mgr I (Job Number: 1305382)DescriptionOverall responsibility to work with the Embedded Control Team and Global Operations Control to ensure the control environment within the business unit is sound and the business unit is meeting client needs. Work with Embedded Control Section Manager to complete all control and risk management responsibilities for the assigned business unit in accordance with Corporate Policies and Procedures, Regulatory requirements and Legal practices. The Embedded Control Unit Manager will manage a team of Control Analysts and Senior Control Analysts Read more […]
Counsel, VP
Our CompanyState Street Corporation (NYSE: STT) is the world’s leading provider of financial services to institutional investors including investment servicing, investment management and investment research and trading. With $25.42 trillion in assets under custody and administration and $2.18 trillion in assets under management at March 31, 2013, State Street operates globally in more than 100 geographic markets and employs 29,460 worldwide. For more information, visit State Street’s website at www.statestreet.com.Promoting a culture of excellenceWith more than 29,460 employees across 29 countries, Read more […]
Life and Pensions Compliance Analyst
This will include completion of file reviews of new high net worth client business prior to its release to the client, monitoring of systems against regulatory handbook requirements and operation, maintenance and development of a compliance monitoring programme alongside compliance peers operating in the wider business.The role will include creation and retention of records of regulatory compliance on behalf of the business to a standard that will satisfy external regulatory and legal bodies, and to take responsibility for review and first stage approval of the work of other members of the team. Read more […]
VP COO Compliance
The COO team provides proactive strategic, project management and operational support to the CIB Compliance Executive Committee (CExCo).The EMEA COO has both global and regional responsibilities for the CIB Compliance department, often working in close coordination with the other regional COOs. The role covers a broad range of global and regional business management activities including:Managing a team of three, providing support and oversight where necessary, whilst ensuring that they meet the high standards expected by senior managementProviding operational and ad-hoc support to the EMEA Head Read more […]
Head of Compliance
JCW are currently being retained to identify a Head Compliance on behalf of a mid-sized banking organisation with an international presence in the corporate banking and lending space. Managing a relatively sizeable team and reporting directly into the bank’s CEO, the eventual role holder will be ultimately responsible for all regulatory compliance efforts across the business, and will be FSA registered accordingly. Candidates must possess extensive regulatory compliance and financial crime experience developed in a relevant financial environment. Leadership is a key aspect of this position Read more […]
Senior Compliance Manager- CONTRACT
The role will be within the core compliance function and will require candidates with significant previous experience in a similar environment within Investment Banking Desirable Qualifications/Experience: Degree level qualification or equivalent A compliance Certificate/Diploma from ICA, Cergi, CII or similar For more information or to apply for this role, please contact Jasemin at jasemin.akcay@jcwresourcing.com or call on 02035 899 276
AVP / VP
The overall goal of the Group Treasury Funding Liquidity team is to drive a best-in-class funding strategy through innovative solutions and partnership with businesses, whilst at the same time managing internal and external regulatory liquidity requirements. Your role in this team will be to assist with in-business/in-country reviews of liquidity risk management practices across the Group internationally, as well as assisting with the production of post-visit reports to remedy liquidity issues raised. You will also assist with the ILAA process, liquidity policy review, funding plan testing, resolution Read more […]