Compliance Examiner – Member Regulation, Membership Application Program
Job Summary: MAP Examiners review or investigate, in the context of new and continuing membership applications, risk areas of broker-dealers and allegations of wrong-doing or other non-compliant conduct to protect investors and ensure the integrity of the U.S. financial markets. This position requires excellent analytical and communication skills, consistently high productivity levels and work quality (frequently under tight deadlines), excellent collaboration skills, and a strong commitment to ensuring that the securities industry operates fairly and honestly. Essential Job Functions: • Read more […]
Compliance Examiner – Member Regulation, Sales Practice
Job Summary: Examiners review or investigate risk areas of broker-dealers, and allegations of wrong-doing or other non-compliant conduct to protect investors and ensure the integrity of the U.S. financial markets. This position requires excellent analytical and communication skills, consistently high productivity levels and work quality (frequently under tight deadlines), and a strong commitment to ensuring that the securities industry operates fairly and honestly. Essential Job Functions: Conducts examinations and other reviews related to FINRA member firms’ finances and operations; sales, underwriting Read more […]
Business Analyst – Financial Services – KYC
Business Analyst – KYC – AML – Financial Services – London – up to £60k plus bonus and benefits Looking for a Business Analyst to join a global financial services company, to join the Financial Crime and Reputational Risk (FCR) department. There will be focus on KYC and AML within this role. Key skills required: – Business Analysis, requirements gathering, communicating with stakeholders – Financial services experience – Experience on KYC and AML If you have the skills and experience then please apply for immediate consideration or email me on tasneem.aliewi@harveynash.com Read more […]
x2 Data Scientists
x2 Data Scientists required by Financial Services company based in London to work on an exciting project, during a time of growth for the organisation. You will work towards generating business value from multiple sources of data and work closely with the business to further understand, model, predict and segment the market. There will be a large focus on translating business needs into technical requirements and implementation, deploying new data mining techniques to discover and identify patterns in data and hypotheses and models. You will create and interpret data and break it down in order Read more […]
Compliance Manager
Required Experience Good knowledge of FCA and PRA rules, requirements and guidance Ability to conduct Compliance Monitoring Reviews Ability to create efficient and effective policy and process Desirable Qualifications/Experience: 5 to 6 years compliance experience in a general Compliance / AML role within the Banking sector For more information or to apply for this role, please contact Hannah at Hannah.logan@jcwresourcing.com or call on 0203 589 9283 JCW are operating as a recruitment agency for the purposes of this position. Read more […]
Compliance HK, Asia Pacific Anti-Money Laundering (AML), ISG Coverage, Vice President
Position Description Morgan Stanley’s Anti-Money Laundering (AML) Group, an integral part of the global Legal and Compliance Division, is charged with day-to-day oversight and coordination of the AML and Sanctions Program covering all of the Firm’s various businesses globally, including Institutional Securities Group (e.g. Fixed Income and Commodities, Global Capital Markets, Institutional Equities, Investment Banking, Wealth Management and Research) and Investment Management.Headquartered in Hong Kong (HK), the Asia (including Japan) Anti-Money Laundering (AML) Group includes dedicated personnel Read more […]
VP Ops Regulatory Risk and Control
The EMEA Operations Regulatory Control team is part of the Global Markets Operations function and ultimately ensures the appropriate governance and oversight of Regulatory Reporting (Client Assets and Transaction Reporting) for entities regulated by the UK Financial Conduct Authority. The team works with Operations line management to strengthen the control environment and improve control processes around Client Assets and Transaction Reporting and provide an independent assessment of related control and risk issues for senior management. The overall team is ten people strong, 8 focussing on Client Read more […]
Real Estate Lawyer
BlackRock is one of the world’s preeminent asset management firms and a premier provider of global investment management, risk management and advisory services to institutional, intermediary and individual investors around the world. BlackRock offers a range of solutions — from rigorous fundamental and quantitative active management approaches aimed at maximizing outperformance to highly efficient indexing strategies designed to gain broad exposure to the world’s capital markets. Our clients can access our investment solutions through a variety of product structures, including individual and institutional Read more […]
Econometrician
Every day, we deliver legendary customer and client experiences to our approximately 22 million customers. We’re an award-winning organization that reinvests constantly to ensure future growth. We’re recognized as an extraordinary place to work that embraces diversity, where everyone is respected and valued. TD is the sixth largest bank in North America by branches, with many exciting and challenging career opportunities in our four key businesses: : Canadian Personal and Commercial Banking – including TD Canada Trust and TD Insurance Wealth Management Read more […]
Regulatory Compliance Manager, Policy and Standards
Regulatory Compliance Manager, Policy and Standards Responsibilities Key risk management function for all aspects of Regulatory Compliance. proactive approach to the identification of Regulatory Compliance potential impacts on global Business Model Strong partnerships with the business to drive and accelerate the execution of Regulatory Compliance programmes Activities Develop best in practice standards, policies and procedures to govern Regulatory Compliance, Support the Regulatory Compliance Control team Assist the effective deployment of the Regulatory Compliance Assurance function. Profile Read more […]