Senior KYC Analyst
The succesful candidate will have the following experience:Extensive KYC knowledge from a financial services background.Experience working in an account opening or client facing roleExperience working with relationship managers both off and on shoreStrogn AML knowledgeTo find out more about Huxley Associates, please visit www.huxley.com Read more […]
Project Compliance Consultant
Role description As Project Compliance Manager within the Financial Services division based in London your daily responsibilities will include: Planning and delivery of client engagements Providing e-clients with responsive regulatory advice and solutions. Update relationship contacts on regulatory advice and solutions Set up relevant compliance infrastructure materials for clients. Carry out compliance assessments onsite with clients and subsequently write compliance evaluation reports. Build/ develop client relationships. Involvement in designing/ running training courses. Who we’re looking Read more […]
Monitoring Manager UK
Objective of the Position To provide senior management with a Compliance framework which assists in the ongoing identification, assessment, mitigation and monitoring of compliance risks. Core Activities: Compliance monitoring Collaboration across all levels of ABN AMRO Policies and Procedures Reporting Risk Identification and Assessment Leadership, coaching and development of others Training Requirements: Ideally degree educated, or a strong academic record with extensive compliance experience. Professional qualifications, such as the CISI Diploma or equivalent. A strong and demonstrated Read more […]
Compliance Officer
Objective of the Position To provide senior management with a Compliance framework which assists in the ongoing identification, assessment, mitigation and monitoring of compliance risks. Core Activities: Advisory Collaboration across all levels of ABN AMRO Policies and Procedures Reporting Risk Identification and Assessment Leadership, coaching and development of others Training Requirements: Ideally degree educated, or a strong academic record with extensive compliance experience. Professional qualifications, such as the CISI Diploma or equivalent. A strong and demonstrated ability to provide Read more […]
Senior Compliance Associate
The role: The role will be focussed on the review of marketing and presentational materials, as produced by the Marketing and Sales teams, for Compliance with relevant regulatory requirements. This includes standard materials as well as an increasing number of customised materials Additional Responsibilities include: To build a relationship with the Marketing and Sales teams to help with queries and issues raised. Provide training to the Marketing and Sales teams Support Compliance of the European branch offices and representative office Support the distributor due diligence process, including Read more […]
Compliance Director
The main duties of the role are listed below. This is an advisory role for employees and managers to identify areas that give rise to a conflict of interest and work to resolve those conflicts Ongoing surveillance and “spot checking” of personal trading activity to detect conflicts of interest, trading violations, front running, trading on inside information etc. and escalate as appropriate Ongoing review and evaluation of the Firm’s policies and procedures to ensure that risk issues continue to be the focus of the Personal Securities Monitoring Team Provide a practical and supportive role in Read more […]
AVP, Compliance
MAIN DUTIES/KEY RESPONSIBILITIES:Manage and conduct the ongoing bank-wide Compliance Monitoring Programme through planning, preparation and completion of assessments;Perform the KYC/AML screening checks on all new and current clients, along with MiFID classification and documentation; this includes past business reviews;Able to manage and challenge senior stakeholders to achieve the required quality outcomes, and escalate to Head of Compliance/MLRO as appropriate;Able to conduct detailed investigations into higher risk client backgrounds and validate results;Able to come up with solutions and recommendations Read more […]
Audit Manager
Group Finance includes central finance areas, specialist teams and divisional finance teams which supporting our front-line businesses. Our specialist teams are; Group Chief Accountant’s, Group Corporate Finance, Group Finance Business and Executive Support, Group Financial Planning and Analysis, Group Internal Audit, Global Services Finance, Group Strategy, Group Tax, Group Treasury, and Investor Relations.An integral part of Group Finance, Group Internal Audit is located across the globe with over 600 employees providing executive management with opinions on how their businesses are managing Read more […]
Compliance Marketing Review
Position Description Candidate will review and analyze sales literature and marketing materials for various pooled vehicle products including registered funds, unregistered products and separately managed accounts to assess compliance with FINRA and SEC rules and regulations and internal firm policies. Provide guidance and recommendations to business unit personnel to promote compliance; Submit marketing and advertising materials to FINRA, as required, and facilitate communications between the regulators and the firm. The candidate will keep abreast of new regulations and communicate such updates Read more […]
Lending Attorney
Position Description We are seeking a Lending Attorney to cover the legal documentation needs and transactional support for our Wealth Management business. The candidate should have [3-5+ ] years experience at a major law firm and/or financial institution , and knowledgeable in documenting and negotiating lending transactions and in the relevant laws and regulations applicable to loan transactions. The focus will primarily be on the preparation and review of loan documentation, interactions with outside counsel and advising on standard securities based lending transactions in our wealth management Read more […]