Compliance Manager I Job
Compliance Manager I (Job Number: 1304800)DescriptionThe qualified candidate will assist in the development, implementation, and administration of Pershing’s Privacy and Data Protection Compliance Program (the “Program”). The Program covers all aspects of customer data protection and confidentiality. The candidate will provide leadership, training, and management over the Privacy Compliance Program. They will collaborate with professionals in the Legal Department, People Services Human Resources Department, Information Technology, Global Security Department, and other business units to verify Read more […]
Experienced Transaction Monitoring/OFAC Compliance Officer
Responsibilities: * Review reports/alerts generated by the SAMS (Suspicious Activity Monitoring System) Model * Review in-process transactions flagged by the OFAC filter for review * Assist in assuring compliance issues are monitored * Assist with preparing statistics for monthly AML group. * Assist in ensuring compliance with all FinCEN Regulations, specifically 314(a). * Prepare reports for OFAC reporting (ie Report of Rejected/Blocked Transactions) * Conduct OFAC and PEP checks for new account documentation (CIP) * Review customer files for KYC and Customer Due Diligence (CDD). * Review alerts Read more […]
Monitoring and Testing Compliance Associate
Within this role you will have the opportunity to work within their testing group and assist with the execution of the monitoring and testing activities of the bank, including but not limited to testing and monitoring reviews of specific lines of business and their compliance with the necessary rules, policies and regulations, as well as surveillance activities. You must possess: * Bachelor’s degree * Knowledge of SEC and FINRA regulations * 2-5 years prior compliance monitoring and testing experience or audit, securities sales and trading or back office experience. * Series 7 and 63 preferred Read more […]
VP Transaction Monitoring
Key responsibilities include but are not limited to:*Conduct daily and monthly transaction monitoring to assure compliance with the BSA/AML/OFAC and other applicable rules and regulations. *User Acceptance Testing (UAT) *Conduct research using internal records and external sources to determine the legitimacy of the alerted activity and whether the transaction(s) are inline with normal, expected customer activity. *Draft suspicious activity reports, when appropriate. *Assist with the implementation of automated monitoring systems, when applicable, to include conducting user acceptance testing. *Assist Read more […]
VP Compliance Testing
Key Tasks and Responsibilities of the role include, but are not limited to: * Conducting a testing risk assessment covering BSA/AML, OFAC and Corporate Compliance. * Designing and executing a testing plan. * Serving as a back up to the training manager. * Ability to convert policy requirement into effective testing modules. * Supporting in the delivery of compelling audits that inspire confidence in the company’s ability to deliver its strategy by taking responsibility for areas of work on audit engagements as a member of the audit practice. *Design, delivery and facilitation of up skilling Read more […]
COMPLIANCE ADVISORY CONSULTANT
Description:Our client, a leading financial services provider in Edinburgh has an exciting new opportunity for a Compliance Advisory Consultant to join their team on a permanent basis. The role will provide business areas with effective compliance oversight, guidance and support to ensuring appropriate challenge to the business and outsourced entities in respect of regulatory risk and compliance with designated regulation and/or legislation.Core Responsibilities:Provide effective 2nd line oversight and proactive support to key regulatory areas, aligned to the regulatory risk universe, such as relevant Read more […]
COMPLIANCE CONSULTANT
Description:An exciting new opportunity has become available within a highly successful finance company to work within their Compliance function. Within this role you will be expected to provide effective Compliance oversight, guidance and support to business areas, ensuring appropriate challenge in respect of regulatory risk and compliance with financial services regulation.Core Responsibilities:Provide effective 2nd line oversight and proactive support to business areas so that the risk of non compliance is mitigatedPromote a greater understanding of current FCA/PRA requirements and company compliance Read more […]
Director- AML PMO Program
Responsibilities: • Act as workstream lead: direct Program Management activities and the quality of regulatory deliverables for company’s Global Anti-Money Laundering Program Management Office. Asses Program Plans and progress to deliver concise and consolidated reports on program milestones. • Evaluate the effectiveness and regulatory conformance of AML functionality within investment and consumer banking businesses as well as key infrastructure areas including operations, technology, compliance and audit. Raise questions and Ideas with Stakeholders to drive complete adherence with OCC Read more […]
Manager / AVP
An exciting opportunity exists for a Fraud Risk Analyst to join an elite and prestigious bank. This is a high profile position within the bank and offers the successful candidate the opportunity to work across the APAC region and provide string analysis and reporting to support the business. Our client is one of the world’s most dynamic and well established banks in the world. They offer state of the art systems, on-going training and exceptional employee benefits and working environment. If you are seeking to join a stable and resilient banking organization – this is the one for you. Your Read more […]
Senior Legal Counsel Construction Projects
Our client is one of Asia’s largest building and development companies.Their Construction team is looking to expand and has given rise to an exciting opportunity for a senior construction projects lawyer to move In-House with a leading corporation. This is an exciting opportunity for a senior lawyer from In-House or private practice to focus on the Construction needs of one client. The position is based in Hong Kong with a requirement to travel to the client’s development projects overseas.Requirements:Hong Kong, UK or Commonwealth qualifiedOver 9 years construction projects experience Read more […]