Private Banking- Regulatory Compliance/AML (contract)
Proactively assist the management in its prime responsibility of complying with relevant • review of clients’ profiles. Review the client adoption and Know Your clients policies/procedures, including the • staff training, client due diligence, client reviews and transaction monitoring. Ensure appropriate compliance arrangements are in place including compliance policies, regulations to ensure that the Bank is able to conduct its business within applicable laws, directives, rule and regulations, and in accordance with the Bank’s Group Policy General Role Description • Key Features of Read more […]
Program Manager
Program Manager – Technology (Job Number: 1315483)DescriptionThe job holder manages the planning, organizing and implementation of medium sized strategic programs (highly visible initiatives crossing multiple disciplines, businesses, and/or organizations). S/he is responsible for the coordinated management of multiple related projects, and in many cases, ongoing operations which are directed toward a common objective. S/he works with constituent Project Managers (who are responsible to the Program Manager for the execution of their project and its impact on the program) to monitor cost, schedule, Read more […]
Auditors & Senior Auditors
Provide stable foundations for remarkable growth Competitive+ Excellent Benefits Auditors Senior Auditors – London Our commitment to risk management and internal control has ensured the global operations have continued to thrive through a challenging economic environment. The Internal Audit Function will continue to play a pivotal role as we push towards becoming the industry’s leading bank – which is why your role will be so important. As a core member of our audit function, you will provide incisive and objective opinions on the way risks are managed to the highest levels of management. By Read more […]
Compliance Testing Manager
Provide expert, high level technical knowledge for Bank Secrecy Act (BSA) and antimoney laundering/terrorist financing (AML/TF) laws, regulations, inter-governmental body guidance and federal functional regulator examination knowledge for the BSA/ AML Group from an enterprise-wide perspective. Provide BSA/AML management with internal evaluations of the BSA/AML Group’s internal control process for compliance with BSA/AML/TF laws, regulations, and regulatory guidance. Desired Skills: 1. Day-to-day high level knowledge and experience with the Bank Secrecy Act, AML/ TF, OFAC and other related laws, Read more […]
Senior BSA/AML Audit, OFAC Bank Internal Audit, San Francisco, California
JOB DESCRIPTION: US banking enterprise is seeking an exceptional senior audit manager to take the lead role in overseeing the BSA/AML and OFAC audit program across the enterprise. The bank have been showing some impressive growth throughout 2013, and are now setting themselves up for a strong 2014. The BSA/AML and OFAC program is a key strategic focus for them and therefore this role will be very visible to senior decision makers in the business. You will be supervising the audit staff and will be responsible for the development and the completion of performance evaluations. This position Read more […]
Senior Regulatory Analyst
High calibre individual with a high degree of intellectual curiosity, strong analytical skills and excellent interpersonal skills sought by this high profile financial institution. Applicants will be high impact individuals with strong communication and presentation skills, together with the ability to quickly grasp new concepts. Key purpose of the role will be to acquire, analyse and report on financial and market information. This will involve both desk based research and face to face meetings and interviews with industry professionals. As such, the successful candidate must demonstrate Read more […]
Risk & Regulation
We are currently seeking to identify several insurance professionals with experience of – or interest in – risk management and regulatory analysis. Roles are with prestigious London-based clients and require applicants to demonstrate excellent analytical, report writing and communication skills, together with familiarity with the UK regulatory environment and the broader markets in which it operates. The successful candidates will have a high level of business acumen and commercial awareness, complemented by an understanding of how regulatory policy is implemented within an insurance business. Read more […]
Compliance Monitoring
The roles are from analyst to director level with salaries from £40,000 to £150,000 base. Covering all areas of compliance monitoring I am very interested in speaking to people that are experienced in one, more or all of the following: PA dealing, conflicts, market abuse, assurance, conduct risk, thematic reviews, guideline monitoring, and AML and Financial Crime Alert monitoring. Some roles have a global responsibility, mainly director level. All clients are good names on the market and offer a range of career development and stakeholder management.
Asset Management Compliance Risk Analysis and Testing
Responsibilities: • Identifying and assessing compliance risks.• Designing and developing testing strategies and analyses.• Consulting with management to develop corrective action plans while maintaining a balance between risk mitigation and operational efficiency.• Documenting and reporting findings to various levels of management.• Developing documentation of new, complex or higher risk business processes (flowcharting, risk and control mapping). Qualifications: • Internal audit or broad base of investment advisory firm experience.• General knowledge of Investment Company and Investment Read more […]
KYC Analyst
Interim role for a KYC Analyst to work for a Top Tier Investment Bank, Reporting to the Team Lead will be responsible for overseeing the end-to-end client on-boarding process. This process includes client initiation, solicitation of credit approvals / facility set-up, completion of KYC, and hand-offs to Compliance, Legal, and Product / Account Set-up. The Client On-boarding Team will solicit documentation from the client directly to support client reference data and KYC requirements. They will support third party client due diligence and conduct media-related searches. Experienced Required Looking Read more […]