Control Room
Responsibilities include overseeing the informational barriers and firewall policies and procedures of business units and the development of procedures, processes, training, and monitoring of business unit trading activity. Qualifications:• MBA, JD degree or professional certification preferred.• Experience with a top commercial bank is preferred • 15+ years relevant product/financial services and/or auditing or compliance experience. • Expertise in particular Financial Services rules and areas of regulation. • Thorough understanding of Enterprise Compliance Risk Management and best Read more […]
Control Room
Responsibilities include overseeing the informational barriers and firewall policies and procedures of business units and the development of procedures, processes, training, and monitoring of business unit trading activity. Qualifications:• MBA, JD degree or professional certification preferred.• Experience with a top commercial bank is preferred • 15+ years relevant product/financial services and/or auditing or compliance experience. • Expertise in particular Financial Services rules and areas of regulation. • Thorough understanding of Enterprise Compliance Risk Management and best Read more […]
Compliance Asset Management / Broker-Dealer
The broker-dealer distributes US mutual funds and private placement funds. The broker-dealer has also applied to be registered in Canada as an Exempt Market Dealer to distribute Canadian private funds.Responsibilities:Workload Management• Review mutual fund, closed-end fund and institutional marketing material for accuracy and compliance with regulatory and GIPS requirements, including websites, consultant databases and social media. • Submit marketing material to FINRA (FINRA Rule 2210)• Assist with the development and implementation of compliance programs including writing policies and Read more […]
Internal Auditor
You’ll play a critical role in audit reviews to form opinions on the management and control of risks within a diverse range of Santander’s businesses.Santander’s Internal Audit Division is a global operation comprising more than 900 people across the world, and its reports reach the highest levels of management. The Santander UK Internal Audit team of 85 people is a high-quality audit function that provides independent, objective opinions on how risks are managed to the highest levels of management in the UK.Our ideal candidate will currently be working for a Top 4 Practice with specific exposure Read more […]
Legal & Regulatory Compliance
Monitoring business activity and conducting regular reviews to ensure compliance with the FCA rules and regulations, relevant guidelines and policies, analyzing regulatory changes and developing a framework of internal codes, policies and procedures and implementing best practice.Duties and Responsibilities- Maintain and monitor the Company’s Compliance Manual and Compliance Monitoring Program and adjust in line with continuous FCA handbook changes. Liaison with all business areas including employee training as required;- Preparing and updating Company’s internal procedures and policies for Read more […]
Compliance Analyst
In this role you will be responsible for ensuring information integrity between the different areas of the investment bank’s daily operations. This will involve a high level of monitoring and controlling of the information flows.Key responsibilities will be:Interacting with the Advisory, Investment, and Securities teams to ensure confidentiality between teamsResearch reviews to ensure compliance with legal and the regulatory environmentsOther detailed compliance related activities interacting with multiple stakeholders across the Australia business and with international stakeholdersThe successful Read more […]
VP, Retail Brokerage AML Compliance
This position supports the Retail Brokerage / Wealth Management business, the individual will be responsible for AML Sign-Off Approval, Advisory Services, collaborating with senior management team to implement AML policies and procedures. This position has the authority to make customer risk decisions of significant complexity. Tha major challenges of the role is to ensure the business understand the AML/OFAC risks involved in on-boarding certain client types and to embed a culture of AML Compliance into the daily activities of the business. The ideal candidate will have minimum of 10 years of Read more […]
RMG Operations and Finance Compliance Director
The Risk Management Group (RMG) is an independent, centralised unit responsible for assessing and monitoring risks across Macquarie. This includes market and liquidity risk, credit risk, compliance risk and operational risk. RMG personnel liaise closely with all operating areas to ensure risks are understood and properly managed.The Risk Management Group (RMG) is an independent, centralized unit responsible for assessing and monitoring risks across Macquarie. This includes market and liquidity risk, credit risk, compliance risk and operational risk. RMG personnel liaise closely with all operating Read more […]
Associate Legal & Compliance
Responsibilities: Assist the Department in the implementation of the legal compliance programs. Interact with other Departments to address current and proposed, rules and regulations. Conduct quarterly, monthly and annual forensic testing (including email surveillance, marketing reviews, etc.). Execute annual reviews of firm pursuant to Rule 206(4)-7 under the Advisers Act. Monitor compliance with SEC, CFTC and FINRA rules and regulations. Develop procedures and disclosures that meet the requirements of compliance regulations for new products and services being introduced as assigned. Assist with Read more […]
KYC US Business Analyst
KYC US Business Analyst Role Purpose To support Delivery Managers in the setup and the delivery of remediation projects, including but not limited to coordination of MI reporting, optimal allocation of workload and actively supporting any project changes within the project, like creating team structures as well as in organizing and coordinating training programs. Principal Accountabilities: Key activities and decision making areas Overall Accountabilities: Ongoing oversight and support of remediation production teams. Coordination of MI reporting. Optimal allocation of workload. Supporting Read more […]