AML Investigations and Surveillance
There are many different AML and financial crime functions and teams but one of the more challenging and intellectually stimulating is the area of investigations coupled with monitoring and surveillance of the vast and complex range of product and business areas within investment banking. This is a chance to join a small, highly skilled team and work with some of the best technology and systems capabilities in the world. You’ll be given some light touch supervisory responsibilities and a lot of responsibility in terms of instigating and making judgement calls on the running of investigations. Read more […]
Financial Crime Assistant Manager
This is a great opportunity for you to joining an expanding bank in a broad AML position reporting directly to the Head of Compliance. We are representing an expanding retail bank with branches in London, Manchester and Birmingham. Your Responsibilities: To assist in the continuing enhancement of the Bank’s Financial Crime Operations To build and maintain close business relationships with key stakeholders Act as a focal point by providing specialist AML, ABC support and advice to the business To risk assess business activities, implement and embed appropriate business controls Read more […]
Risk Review Compliance Officer, Ecomms Monitoring
Main Responsibilities: On-going performance of the cyclical monitoring and thematic/topical/desk review programmes Promptly Investigate and clearly communicate issues arising from the cyclical monitoring and review activities, involving advisory compliance officers as required, follow issues through to full resolution with the business lines. Maintain and monitor a database of remedial actions/recommendations arising from trade surveillance, to ensure timely and satisfactory resolution of issues identified Preparation of written reports for submission to the Risk Assessment Review Unit Senior Read more […]
ADJUNCT FACULTY
We are seeking industry ‘practitioner’ adjuncts to develop and teach various courses in the areas of Finance, Law, and Accounting, including courses in compliance, U.S. law, securities regulation, corporate ethics and governance, non-profit accounting, taxation (individual and corporate), corporate financial management, cutting-edge financial products, investment banking, and financial risk management. Adjuncts should have prior teaching experience or have facilitated groups concerning specific topics, have developed and be able to develop rigorous curriculum and content to provide students with Read more […]
Compliance Administrative Assistant, 12m Fixed-Term Contract
Functional Job Title: Compliance Administrative Assistant Reports to: Chief Compliance Officer, Asia Pacific and Head of Compliance, Australia Department/ Division: Compliance Basic Purpose of Job:To assist the Chief Compliance Officer Asia Pacific and the Australian and Asia Pacific Compliance teams in all administrative matters including diary management, travel arrangements, general filing, typing and general administrative support. Priorities or Objectives: Co-ordinates effective and timely flow of critical information Read more […]
Wills & Estates Lawyer
We’re looking for a Lawyer to join our Estate Planning team who has a reputation for high quality technical advice and second to none service. This role will see you join a progressive firm that rewards talent and results and will allow you to secure a rewarding and interesting legal role. You’ll work alongside a team of experienced financial advice and retirement planning specialists who will provide ongoing development to help you achieve personal and career growth. Key Responsibilities Be the primary contact for clients seeking estate planning advice in Melbourne and Canberra, involving Read more […]
Bank Anti-Money Laundering (AML) Group Testing Associate
Position Description Morgan Stanley seeks an AML compliance testing associate to execute compliance testing covering bank regulations including PATRIOT Act, Customer Identification Program (“CIP”), Customer Due Diligence and Office of Foreign Assets Control (“OFAC”). Skills Required •Perform AML compliance testing with applicable federal banking rules and regulations as well as bank policies and procedures covering banking products. Escalate and work to closure any issues identified. •Communicate testing results, present identified issues to the business, work with the business to develop and Read more […]
Regulatory Analyst – OFDMI-Fraud
The Regulatory Analyst conducts routine review and investigations of unusual market activity for evidence of violations of relevant rules and regulations enforced by FINRA. Essential Job Functions: Routinely analyzes trading activity in area of primary responsibility for indications of potential violative activity. Conducts routine reviews and investigations into possible violations of relevant rules and regulations enforced by FINRA relating to order handling rules and/or federal securities laws. Compiles and organizes information from a variety of sources to be used in the development of Read more […]
Compliance Manager, Investment Products
Established on January 12, 1996 in Beijing, China Minsheng Banking Corporation (“CMBC”) is the first national joint-stock commercial bank with shares mainly owned by non-state-owned enterprises. As the pilot in the reform of China’s banking sector, CMBC has made significant explorations in reform, management, innovation and development, and achieved notable success as evidenced by rapid and healthy growth in the past 17 years. CMBC is listed on the Shanghai Stock Exchange and the Hong Kong Stock Exchange and it operates over 700 entities nationwide including 33 branches. CMBC was ranked No.62 Read more […]
Compliance Manager, Investment Products
Established on January 12, 1996 in Beijing, China Minsheng Banking Corporation (“CMBC”) is the first national joint-stock commercial bank with shares mainly owned by non-state-owned enterprises. As the pilot in the reform of China’s banking sector, CMBC has made significant explorations in reform, management, innovation and development, and achieved notable success as evidenced by rapid and healthy growth in the past 17 years. CMBC is listed on the Shanghai Stock Exchange and the Hong Kong Stock Exchange and it operates over 700 entities nationwide including 33 branches. CMBC was ranked No.62 Read more […]