Compliance Manager, Risk & Compliance Solutions
A household name in the market, Commbank are proud of our reputation of being Australia’s number one Bank in customer service in our 101 st year of trading. A great opportunity has arisen in our Wealth Risk Management department. The TeamThe Wealth Risk Management Shared Solutions (WRMSS) team is responsible for ensuring that the Wealth Management Risk Management and Compliance frameworks operate effectively. This includes:Providing operational risk management and compliance support to the WRM divisional risk teams. Acting as the key contact between Group and the WRM divisional risk teams, which Read more […]
Assistant Vice President, Trade and Communications Surveillance, Group Compliance
Group Compliance is committed to implementing compliance best practices across the DBS Group to protect our reputation as well as our capital. It provides leadership, oversight and guidance for the establishment of a strong compliance culture and framework. Responsibilities: Implementation of Trade and Communications Surveillance Programme in Singapore and the region Performing monitoring of trading activities for the Treasury Markets business to ensure Compliance with MAS and other regulations in relation to Market Conduct and Benchmark Rate Setting Performing electronic communications surveillance, Read more […]
Senior Analyst, Credit Systems
A household name in the market, Commbank are proud of our reputation of being Australia’s number one Bank in customer service in our 101 st year of trading. A great opportunity has arisen in our Retail Banking Services (RBS) Risk Management department. The TeamRisk Management RBS provides credit risk management and business risk management support to the Retail Bank. This is achieved through developing strategies and policies which aim to optimise risk and reward within risk appetite.Customer Risk Solutions supports Secured Credit Risk, Unsecured Credit Risk and Credit Risk Data Analytics departments Read more […]
KYC Analyst Financial Crime
General responsibilities Ensure the Firm’s compliance with applicable Financial Crime legislation and regulations and internal policies; Join the dedicated Compliance Financial Crime Quality Assurance Project Team that focuses that quality checks all existing low; medium and high risk clients from a rolling review perspective; Actively promote and raise awareness of the Financial Crime function within the firm; Be involved in compiling and providing management information. Client Due Diligence Work with the Client Account Review team in Operations to ensure that existing clients are identified Read more […]
Portfolio Analyst
The Portfolio Compliance Analyst will work in a Regulatory reporting team, cross training provided, no Regulatory experience required. This is an opprtunity to work for a genuine prestigious top 10 Globally operating firm. Role requirements: 2.1 Degree or above Minimum 18 Months Investment Management or Sell Side experience Fluent German language skills Interest in working in Threshold, Regulatory Reporting (training provided) Any additional experience of Regulatory reporting, FCA, Threshold reporting, Control Room, Process Control, Accounting or Corporate Actions are an advantage but not essential Read more […]
Assistant Compliance Officer
Assistant Compliance Officer – Graduate – Investment Management The Role: * Review and assess the quality of advice given * Provide file review reports and communicate findings * Compliance contact for advisers in the business * Portfolio Monitoring * Speak concisely, effectively and coherently to all internal clients and external contact * Policy review and amendment. * Assist with development off the treating customers fairly programme. * Staff training and presentation * Build effective working relationships at all levels of the organisation and gain credibility for self and the Compliance Read more […]
Markets Operation & Risk Manager
In your supervisory capacity you will have sign-off authorities on items related to account opening, account operations and AML/KYC. You will be responsible for conducting independent reviews on Client Advisors to ensure our clients are receiving appropriate advice. You will play a key role in identifying potential risks in the business and managing quality standards of Client Advisors. You will act as representative of Client Advisors in the design of new processes and thus be able to influence the efficiency of our operations. This role involves a variety of tasks and we are looking for a generalist Read more […]
Legal Counsel, Financial Services Provider, Hong Kong (LC226)
Our Client, a leading financial services company that specializes in the settlement of securities transactions as well as the safekeeping and asset servicing of these securities, is looking for a Legal Counsel. The services offered by the client are very diverse and range from Settlement, Custody, Banking (credit and treasury), Collateral Management and Issuer Services. Your main responsibility will be to provide legal support in relation to operational services offered by the client. This will involve legal support for answering day to day queries in regards to: (i) corporate actions, new Read more […]
Compliance Advisor, Private Banking
The role will provide advice and guidance to the private bank, working with a variety of relationship managers, business heads and regulators. Our client particularly needs people that have experience on financial promotions and working with a client base in one more of the following regions: Asia, Africa, Middle East. You will support other compliance team members when needed within monitoring and reviewing country guidelines, advising on enhanced due diligences and generally contributing to ensuring the bank’s meeting FCA and wider regulatory standards; interpreting and reviewing policies and Read more […]
Business Improvement Manager
About the business and teamThe Customer Assist team’s business objective is to assess every request for financial assistance on an individual basis – ensuring the right solution is implemented for our customers – providing transparency in our reasons for approval or decline, with a view to supporting long-term affordability for both short-term requests involving temporary relief, as well as long-term and complex matters of acute and sensitive financial hardship.About the opportunityThe Business Improvement Manager reports to the Senior Manager Customer Assist and is responsible for influencing Read more […]