Disputes Resolution Manager, Compliance
About the Role:Providing general advice on a variety of disputes and complaints Preparation of documents and responses to complaints Explaining and negotiating remediation with affected clients Managing responses to various regulatory bodies Interpreting policy wordings as requiredAbout You:Well developed problem solving and decision making skills Strong understanding of internal and external dispute process within Financial Services Solid knowledge of derivatives (preferably ADA accredited) Attention to detail Ability to deal with a variety of internal and external stakeholders Ability Read more […]
Disputes Resolution Manager, Compliance
About the Role:Providing general advice on a variety of disputes and complaints Preparation of documents and responses to complaints Explaining and negotiating remediation with affected clients Managing responses to various regulatory bodies Interpreting policy wordings as requiredAbout You:Well developed problem solving and decision making skills Strong understanding of internal and external dispute process within Financial Services Solid knowledge of derivatives (preferably ADA accredited) Attention to detail Ability to deal with a variety of internal and external stakeholders Ability Read more […]
Internal Controls Specialist
A fantastic new opportunity has been created for an experienced Internal Controls specialist with one of our major financial services clients. This is a newly created opportunity that will have a pivotal role in the smooth running and the development of compliant business looking at policies and external regulation to aid risk mitigation. With a dual reporting line to a Director and the Senior Internal Controls Specilaist, this role will: *Provide guidance to business management to support compliance to help reduce and/or prevent financial and reputational damage to the business and the company. Read more […]
Product Governance Manager
This is a 9 Month FTC Product Governance Manager to assist the Head of Fund Governance in co-ordinating implementation of a strategy to ensure the following; The appropriateness and suitability’ of pooled products developed and/or managed and sold/distributed That for pooled products managed by other group business areas enough information to enable them to assess ‘Appropriateness and Suitability’ is provided That Distributors of the product are provided with enough information to enable them to recommend ‘Suitable’ products to customers Principal Accountabilities To Read more […]
Associate/Assistant Manager/Manager
Provide compliance advisory with regards to AML/CFT and sanctions laws and regulations Monitoring transactions for suspicious activities and filing them Keep abreast of regulatory changes and news Compliance training To succeed in this role you will require the following demonstrable skills and attributes: Compliance experience within banking Good knowledge of AML/CFT and sanction laws Familiar with banking products and policies Good interpersonal skills with a team player spirit To apply, please email your resume to l.chew@alsrecruit.com. Read more […]
MLRO & Compliance Officer
This could be an excellent opportunity for an ambitious person who has experience in the field to take the next step into a senior executive role within a private bank. MLRO Compliance Officer THE ROLE: – Managing MLRO and Compliance functions in London office – MLRO implementation – Monitoring of accounts – Assessment of accounts low/medium/high risk. KYC – Providing reports to group head of compliance based at head office – Sitting on New accounts committee – Compliance Conduct Regulatory Reporting – Manage and approving new accounts both booked and ran from London – MLRO training within Read more […]
Snr Regulatory Analyst
High calibre, polished individual with excellent critical analysis skills, together with superior communication and presentation skills sought by this prestigious financial institution. This is a high profile role requiring applicants to exercise sound judgement in a deadline driven environment. The role will involve analysing complex banking documentation and a legal, forensic investigation or audit background from within the financial services sector is essential. Previous exposure to MA from a banking, legal or consultancy environment will be a definite advantage, together with an awareness Read more […]
Associates and Advanced Associates
Retail, Wholesale, Unauthorised Business and Legal Departments Associates and Advanced Associates – forensic investigators Enforcement and Financial Crime Division, Financial Conduct Authority Location: London (Canary Wharf) About us The financial services industry has changed and so have we. As we embed fresh ways of working, we’re looking for energetic forensic investigators and lawyers who can play an active role in making sure firms put consumers at the heart of their business and markets work well. You’ll be at the centre of a high-profile, fast-paced industry, making a tangible difference Read more […]
Associates and Advanced Associates
Retail, Wholesale, Unauthorised Business and Legal Departments Associates and Advanced Associates – qualified lawyers Enforcement and Financial Crime Division, Financial Conduct Authority Location: London (Canary Wharf) About us The financial services industry has changed and so have we. As we embed fresh ways of working, we’re looking for energetic forensic investigators and lawyers who can play an active role in making sure firms put consumers at the heart of their business and markets work well. You’ll be at the centre of a high-profile, fast-paced industry, making a tangible difference Read more […]
Risk Reporting Analyst, EMEA Risk Architecture Job
Risk Reporting Analyst, EMEA Risk Architecture (Job Number: 1311935)Description Team Description This role will be part of the EMEA Risk Reporting and Analytics team within the EMEA Risk Architecture function. The team of 4 will be responsible for managing the production of risk reporting and analytical data for the EMEA region covering Advanced operational risk modelling and related scenario development process, research and analysis from risk systems to support stress testing preparation. The team will interface with internal staff, as well as BNYM Risk management in EMEA and at a global level. Read more […]