Controls & Testing Compliance Officer
Responsibilities: • Manage oversight reviews to evaluate various aspects of the Business-aligned compliance oversight programs • Work with line of business, legal, risk, and compliance management to identify and assess risks • Develop and execute an appropriate compliance testing plan and ensure that corrective action is fully implemented to address testing, audit, regulatory, and/or self-identified issues • Review controls documentation completed by the Business-aligned Compliance teams to ensure adherence to the methodology • Conduct detailed testing of internal controls, policies, Read more […]
Head of Compliance Monitoring
This will include overall responsibility for delivering an effective, high quality, risk based monitoring plan and ensuring their staff have the capabilities necessary to be successful in their roles with the necessary training, coaching and support provided, to deliver this plan.Key responsibilities include:Building trusted relationships with all stakeholders that will include senior business executives, external agencies, peers and staff;Building and sustaining a high performance culture within Regulatory Risk;Ensuring the maintenance of a Compliance Monitoring plan reflecting the Conduct Risks Read more […]
Risk Change Manager, Risk Data and MI Development
This role provides a fantastic opportunity to apply risk analysis skills in a change position. You’ll gain project experience whilst being intellectually challenged to deliver solutions for a large and complex business. Your output will be of high profile and aligned to key divisional and Group objectives.UK Corporate Banking serves UK corporate and commercial customers from SMEs to UK based multi nationals, providing them with everyday banking, innovative products and services, and specialist help. We work together with our customers to achieve their financial goals with local and sector expertise Read more […]
SSgA 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 $24.37 trillion in assets under custody and administration and $2.09 trillion in assets under management at December 31, 2012, State Street operates in 29 countries and more than 100 geographic markets and employs 29,660 worldwide. For more information, visit State Street’s website at www.statestreet.com.Promoting a culture of excellenceWith more than 29,660 employees across Read more […]
Senior 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 […]
COO Support
This represents a unique opportunity for an individual who has a strong accounting or legal pedigree who is performing an internal audit (in asset management) or operational due diligence role to work closely with the COO and the Head of Compliance of this leading and reknowned asset manager.The role requires a mix of skills to be able to work in this changing and forward thinking compliance function – whilst the basis of the role is in compliance, the skill required from the COO is an individual who has both the anal atttention to detail, report writing and documentation whilst being presentable Read more […]
Part-Time Company Secretary, Legal Department
Eastspring Investments, part of Prudential Corporation Asia, is Prudential’s asset management business in Asia. We are one of Asia’s largest asset managers, with operations in 12 markets, approximately 2000 employees in Asia and about US$85 billion (£53.4 billion) in assets under management (at 31 March 2012). We are one of the largest multi-national onshore mutual fund managers in the region.About half of our total assets are sourced from third party clients and we manage funds on behalf of a wide range of retail and institutional investors, including life and pension products sold by Prudential Read more […]
Senior VP Compliance
Growing TeamProfitable Business SectorTop Tier Global Financial InstitutionThis is a new and exciting opportunity to join a Top Tier Global Financial Institution within their most profitable business sector. Your role as the VP of Compliance will be to provide compliance and regulatory advisory for the companies Transaction Banking and Corporate Finance business within Singapore. You will have to evaluate compliance with the relevant regulations, issue identification, assessing the impact of regulatory change and working with business to build and maintain control mechanisms to remain in Read more […]
Group Financial Crime Manager
The role will involve taking responsibility for aspects of financial crime across AML / TTP (third party payments) / sanctions / anti-bribery and corruption / fraud and will include policies, risk assessments, financial crime strategies, investigation of suspicious transactions, liaising with law enforcement agencies, enhancing third party payment processes, training, managing senior internal/external stakeholders, and managing a small team.To apply for this role you will need to be available at short notice and have previous experience as a Financial Crime Manager / Head of Financial Crime within Read more […]
Vice President, Legal Advisory, Global Transaction Services
Global Transaction Services (GTS) comprises of Cash Trade, Securities Services and Fiduciary Services.In an increasingly borderless world marked by burgeoning trade flow, expertise in trade finance services is an invaluable asset. With cash the lifeblood of every company, so too, is a good understanding of how to manage these cashflows. Trade Finance, together with Cash Management, is the mainstay of GTS, and is extended to SME and corporate clients for their local and cross-border financial transaction needs.In Cash Trade, you will be part of the product management team that provides seamless Read more […]