Quality,Training & Compliance Manager
This role reports into Sales Director HNW DirectReason for the vacancy:In order to meet with the increasing demands both internally and externally, additional compliance support is needed. There is now a need for an additional compliance professional to react to ever-changing customer needs and keep pace with new developments in Personal Investing (PI).Current needs for the role.Monitoring:Strengthen the current monitoring of our PI customer facing teams in the performance of additional on-going reviews. Any monitoring taken on by this new head would be in addition to line manager monitoring.Reporting Read more […]
IT Risk Management
the team…..The EMEA operational risk team has responsibility for the development of operational risk management for the region. This includes:Developing the operational risk strategy and governance framework.Establishing a set of operational risk products and services to support the business areas’ management of operational risk.Developing the tools and templates to allow the effective collection, review and use of operational risk information.Through a team of Relationship Partners and Senior Risk Managers, effectively working with Operational Risk Co-ordinators across the business to embed Read more […]
Senior Wealth Planner
You will provide direct support to the North Asia teams and will present relevant training and regular reporting to RMs and proactively build strong and trusting partnerships with RMs and other selected specialists. You will attend and contribute at meetings, business development working groups etc. with RMs and maintain careful watch on developments in specific market(s) allocated, as well as communicate these efficiently and timely to the Regional Head and RMs for action and briefing to clients where necessary. You will participate in meetings and discussions with Clients, RMs and professional Read more […]
Compliance Associate
The firm has an outstanding reputation and beautiful offices in the heart of Mayfair. Reporting the the Head of Legal Compliance, you will have a wide range of responsibilities that stem from providing administrative support to advising the business on regulatory obligations in respect of major deals.Key responsibilities will include:*Compliance monitoring* Maintenance of all relevant documentation, filing and records keeping.* KYC and Client Onboarding* Provision of training for all new starters as well*Maintaining the Watch Lists, Gift Register* Personal Account Dealing* AML monitoring and Sanctions Read more […]
Regional Head of Compliance & AML
Our client, a global private bank is looking for a Regional Head of Compliance to provide advice, guidance and support to their private banking business. The individual would help to develop and maintain regulatory standards to enhance and protect the reputation of the firm.Duties Include:Manage the compliance and AML oversight for the private banking businessManage staff in meeting compliance and AML requirements for the private banking business.Liaise with the regulators and maintain relationships on behalf of the firmLiaise with Senior Management to provide regulatory advice when requiredDemonstrate Read more […]
Senior Legal Advisor
Our client, an international private bank is looking for a Senior Legal Advisor who is fluent in German and Italian to join their team and work with the business and other departments to mitigate legal risks and help facilitate the business.Duties Include:Identify the legal risks in the business and ensure that it meets applicable laws and regulations.Provide advice in legal matters for the benefit of the bank.Advice in all legal matters in connection with the private banking business.Assisting in contract negotiations and drafting of tailor-made contracts.Monitor and interpret regulatory requirements Read more […]
Regional Head of AML
Our client, a leading global private bank is looking for a Regional Head of AML to provide support, advice and guidance to their front office and senior management. The individual would manage the AML function and help to promote a proactive compliance culture within the firm.Duties Include:Provide anti-money laundering (AML) related advice including guidance on fraud and financial crime related matters.Manage a department of staff in providing support on AML and sanctions issues. Provide regular reports to Senior Management and Head Office abroad regarding AML activities of the bank Liaise Read more […]
Deputy MLRO, Global Investment Bank
This is an excellent global opportunity, focussing on the UK and international entities of the commercial and investment bank; including both policy advisory duties across sanctions and wider financial crime, as well as leading the AML surveillance team to monitor business activity against money laundering.This opportunity is suited to those with previous experience in a financial crime oversight role, within an investment bank (CF11 desired). An exceptional understanding of UK AML and Sanctions regulatory requirements is necessary, as well as an understanding of investment banking products. If Read more […]
Compliance Testing Officer
Responsibilities: * Conduct compliance monitoring and testing. * Annual risk assessments. * Annual policy and procedure reviews/revisions and development of new policies and procedures, where applicable. * Monitoring all regulatory changes, including communicating new requirements, and assisting in creating/revising policies and process to meet new requirements. * Personal trading surveillance activities; on-boarding of new employees, maintenance of watch/restricted list, disposition of violations and maintenance of surveillance system. * Compliance training.Must possess: * Strong knowledge of Read more […]
Equities
The successful candidate will be the senior Sales and Trading lawyer for our client and will advise and support the Cash, FX, Futures, SSM, Repo/Securities Lending, Derivatives (including Credit Derivatives and Equity Derivatives) business desks.This is a rare opportunity in today’s market to work in-house in a fast-paced environment with high-calibre work and an outstanding team and business around you.The successful candidate will have at lease seven (7) years legal experience and a right to work in Australia. Candidates with direct experience of equities markets in Australia are still encouraged Read more […]