Financial Crime Compliance Manager
The successful candidate will assist in the development of globally consistent Financial Crime Compliance policy across the retail banking businesses, playing a large part in ensuring the highest compliance standards are upheld.As a key position within the bank the successful candidate will work closely with the global banking management teams, adding impact and gaining credibility quickly.The job will involve: * Supporting the Heads of Financial Crime Compliance in the provision of clear, concise and customer conscious advice and strategic guidance to the retail banking team * Developing financial Read more […]
Compliance Consultant
You are likely to be working in Regulatory Consulting and either still do or have worked for the FSA/FCA. Candidates will havethe following experience: – Provided audit and assurance services for firms regulated by the FCA – Have expertise in a designated specialism eg EMIR, AIFMD, MIFID II – Advised on all areas of regulation, in particular corporate governance, PRIN/APER, COBS, SYSC – An excellent understanding of FCA rules and regulations – Excellent communication skills, the ability to produce accurate audit reports, compliancemanuals, policies and procedures – A broad understanding Read more […]
Compliance Adviser
The ideal candidate will have an understanding of stockbroking markets, equities and ASIC regulations. This unique opportunity will provide a chance to work within a fun, fast-paced environment whilst furthering and advancing your career.Sydney CBD: $70 000 -$85 000 base + superRole Responsibilities;Provided advice and support to the broader business on Compliance mattersSupport the drafting and reviewing of Compliance policies and procedures.Provide compliance monitoring, analysis and feedbackSupply regular reports to managementProviding Compliance training, educate employees and promote compliance Read more […]
KYC Director
Candidates will need to have a good level of experience in dealing with high risk transactions (SPVs, Trust etc.) and able to build on relationships with the business and set expectations to the front office. Working across securitisation, structured finance, commodities, trade finance and acquisitions, will be able to lead and direct the team. There is a new structure to the London compliance team and this new position is a key part in ensuring the ongoing changes continue to compliment the bank. All candidates must have a minimum of 5 years CDD/KYC experience in an international team. You will Read more […]
Technical Adviser, Anguilla Financial Services Commission
POST TITLE: Technical Adviser, Anguilla Financial Services Commission (AFSC) NATURE OF PROJECT: Advisory DUTY STATION: The Valley, Anguilla DURATION: One year (1) START DATE: As soon as possible RESPONSIBLE TO: Director, Anguilla Financial Services Commission (AFSC) or nominee Please quote ref: efc1279047 on all applications Closing Date: 25th October 1. Project Background Since the commencement of the international financial crisis regulatory authorities have come under increasing scrutiny and face increased calls to enhance their supervisory frameworks. The G20 has joined this call and Read more […]
Compliance Zhuhai, Morgan Stanley Bank International China (MSBIC), Manager / Director
Position Description Morgan Stanley Bank International China (MSBIC) is currently looking for an industry professional to join their China Compliance team at Manager level. Candidates with more experience will be considered at Director (below VP) level.Based in MSBIC’s Head Office in Zhuhai and reporting to MSBIC Head of Compliance, this role will be responsible for these core responsibilities:- Anti-Money Laundering (AML). Identify risk areas or conduct independent KYC compliance reviews and monitoring under management guidance. Be the key contact person with regulators regarding AML issues. Responsible Read more […]
UK & European Compliance Director
As compliance/AML lead for the European operations, you’ll be responsible for a wide variety of regulatory compliance matters supporting the growing business. In particular, in this role, working closely with the group legal team, you will help manage its compliance with the payments-related regulatory requirements, including anti-money laundering and related issues. Your position will also be broad enough to take on some risk management responsibilities and other control responsibilities. Our client is both a technology company and a financial services company, and you will need to be comfortable Read more […]
Wealth Management Compliance (CONTRACT)
I am particularly looking to hear from candidates with a strong awareness of regulatory impacts on the wealth industry such as COBS, RDR and TCF. If you have a background in wealth management/private banking compliance either generalist, monitoring or advisory then please do call me to discuss the opportunities or send your CV to emma.finch@bruinfinancial.com
Compliance Manager
Working for a Private Client Investment Management firm in the city, my client is looking for a Compliance Project specialist who can cover conflicts of interest, monitoring policy and advisory based work. On going contract role – reporting to CF10 but within a team of 10 £400- 500 per dayHays Specialist Recruitment Limited acts as an employment agency for permanent recruitment and employment business for the supply of temporary workers. By applying for this job you accept the TC’s, Privacy Policy and Disclaimers which can be found at hays.co.uk Read more […]
Senior Advisory Compliance
Job Title: Senior Compliance Manager – Advisory Position As a result of our growth and a continued commitment to driving a successful business, we are looking to grow our Compliance Risk function. The role will involve a variety of day to day general compliance duties relevant to a retail fund management business, specifically concentrating on the provision of compliance advisory support to the various business units. Job Functions Provide clear, reliable and consistent advice on any compliance issues arising in the Business Provide advice and input in to compliance issues relating to the launch Read more […]