KYC Manager/ Client on-boarding Manager Ref: VR/01046 My client is one of the

Sat, 22 Nov 2008 08:58:04 GMT

largest banking and financial service organisation in the world. Its international network comprises around 9,500 offices in 85 countries and provides a comprehensive range of financial services: personal financial services; commercial banking; corporate, investment banking and markets; private banking; and other activities. This role would should a KYC and AML person who specialises in this field. This is a varied role, and in brief the duties will include: Act as the primary liaison interface between the KYC Team in our Indian Service Centres and the onshore KYC internal and external Clients. As a UK KYC expert, provide advice and guidance to the offshore teams, other functions and front office Business Owners on all UK AML/KYC related matters. Personally liaise with the Investment Bank and other areas subject to confidentiality or Chinese wall arrangements, providing guidance and undertaking client identification and verification and KYC for complex confidential deals. This will require the incumbent to be placed on an insider register. Review and technical approval of high risk KYC profiles as the 1st part of the approval chain. Act as a primary interface between Compliance and the KYC function in monitoring performance and resolving complex issues. Working closely with the Indian service centres, Compliance, Management and Relationship Management Teams to ensure high quality of production and fast turnaround times. . Provide management, training and guidance to a rolling Short Term Assignment colleague from Bangalore Service centre. Assisting with the provision of on-going training and identifying focus areas. Project work as directed by the COBAM Global or UK Head of KYC, focused on policy change and development of a new Global KYC IT platform. Ensuring that FSA and our Bank requirements are adhered to in regard to Anti-Money-Laundering & Client Identification obligations Updating the control tools and maintaining records and procedures used within the on-shore KYC team. Provide the on-shore support and liaison for Corporate Origination and Asset Backed teams Personal Qualities Strong knowledge of regulatory requirements for global banking and wholesale markets client due diligence (CDD). Experience of CDD implemented on a risk based approach Experience of on-boarding complex organisations Good interpersonal skills Proven management ability Ability to manage a varied and demanding workload and self prioritise appropriately Excellent organisational abilities Self motivated and enthusiastic Good verbal and written communication skills Flexible and able to work in a fast-moving environment Good common sense ACAMS accreditation would be an advantage Ideally Candidates should have experience within a client on-boarding, or Know Your Customer environment, preferably within a UK Bank or Fund Mana KYC and AML skills are a highly sought after knowledge within the banking work and if you think the following key responsibilities to the role sound right for you, then please give me a call.. £0.00 - Contact seller

My client is highly regarded global bank with a consistently well performing

Sat, 22 Nov 2008 08:58:04 GMT

investment banking arm. My client is looking for an accomplished compliance officer with previous experience of working in the fast paced environment of a control room. This is a highly varied role that will give you exposure of dealing with complex compliance issues across a diverse range of investment products. The ideal candidate will have a detailed knowledge of investment banking and UK/EU regulatory frameworks. You will be analytical, methodical and a natural self starter able to demonstrate assertive interpersonal skills.. £75,000.00 - Contact seller

Organisation DescriptionWorking within the Customer Service Recovery Centre for

Fri, 21 Nov 2008 07:09:47 GMT

Lloyds TSB, the departments purpose is to deal and respond to customer complaint letters within the agreed Service Level Agreement. This is a full time position working Mon to Fri 9am to 5pm. Due tostart inDec/Jan and will bebased at City Park, Hove. Job DescriptionPredominantly dealing with customer complaint letters based on a variety of queries including loans, credit cards and overdrafts. Investigating the customers queries and making a decision as to whether the customer is eligible for compensation. Responding to the customer either by letter or telephone. Dealing with inbound calls (although a small proportion of calls are outbound) from customers who wish to resolve their complaints directly with an adviser. Offer the customers a solution/explanation if they are not eligible for compensation. Making sure all customer complaint letters are responded to within the agreed SLA date. The purpose of the department is to acknowledge the customers complaint letter within 5 working days. Customers complaints you will be dealing with range from anything from hardship or cases of a more sensitive nature. Person SpecificationCandidatesmust have experience in complaint handling. Candidates must be confident in investigating cases and making decisions under pressure. Must be confident on the telephone and be able to speak to a wide variety of people and be adept at handling difficult situations over the phone, a mature attitude is ideal. Confident communication and call management skills are required.. £16,510.00 - Contact seller

A fantastic opportunity has arisen within this City Based Investment House for a

Fri, 21 Nov 2008 07:09:47 GMT

KYC Manager. This exciting new role will involve managing a Team of New Accounts Associates as well as approving New Corporate and Individual Accounts for CFD and Spread betting, updating procedures with regards to any changes within guidelines. You will also work closely with Senior Management and Business Developers to improve the New Accounts Department and it's systems to support this rapidly growing international business. The ideal candidate MUST have strong proven managerial skills as well as extensive knowledge of KYC for UK and International clients as well as a thorough knowledge of JMLSG guidelines. This vacancy is being advertised by Barbara Houghton Associates Ltd. The services advertised by Barbara Houghton Associates Ltd are those of an Employment Agency.. £0.00 - Contact seller

Compliance Manager - one year contract c£65-£75,000

Thu, 20 Nov 2008 07:11:03 GMT
/>This leading, world renowned investment and corporate banking organisation with a particularly strong M&A presence is looking for an experienced Compliance Professional, initially on a one year contract. Previous M&A / Corporate Finance experience is highly preferred.

The individual will form part of the Compliance department and will provide support while the Compliance Manager is on maternity leave.
Main Duties/Responsibilities
To coordinate and manage activities of two Compliance team members in implementation of local and global monitoring programmes, whilst the Compliance Manager is on maternity leave
Ensure accurate and timely presentation of results to Head of Compliance and Senior Management and to present sensible suggestions to improve procedures where appropriate
To assist in the review and, if appropriate, updating of compliance monitoring programmes. To undertake monitoring of the adherence of compliance procedures, primarily, across the Banking division
Updating and maintaining compliance procedures as necessary
Day to day duties include dealing with queries relating to general compliance issues, Senior Staff Loans, Staff Dealing Rules, Money Laundering and new starter inductions.
Coordinating other Compliance projects
Other ad hoc duties.

Call or email immediately for further details. £75,000.00 - Contact seller

Our client is a large and well respected financial services group based in

Wed, 19 Nov 2008 07:10:57 GMT

Nigeria, whose business includes retail, commercial and investment banking as well as wealth management Due to continued expansion they are seeking to employ four additional compliance officers to assist the head of compliance is the discharging of regulatory and group responsibilities The group has businesses all over Nigeria and so travel will be involved to audit these businesses. CANDIDATE PROFILE The successful candidate will be a graduate and possibly hold a financial services or professional qualification, and also have a minimum of five years compliance experience. Your experience can be from a banking, asset management or stock-broking background or from a regulator. However, you must have good all round compliance experience and AML knowledge and be up to date with current legislation This is an excellent opportunity to make a difference in a large and well established organisation where compliance is taken very seriously. Good benefits are also included. £70,000.00 - Contact seller

Our client is a specialist provider of compliance consulting services and has

Wed, 19 Nov 2008 07:10:56 GMT

several hundred clients, for whom they provide a variety of compliance services, ranging from one-off compliance health checks and due-diligence to full service compliance and FSA authorisation support. With an international client base, they serve many firms with overseas parent companies, particularly firms from the United States. Major work covered is in the alternative asset management sector providing services to in excess of a quarter of the market. RESPONSIBILITIESYou will provide professional compliance services to a portfolio of firms. Each firm has its own personality, challenges. The core to a consultants work is the provision of assurance to the key stakeholders of the firm that the firm is meeting its regulatory obligations. Working as part of a team led by a senior consultant you will provide services to clients on an individual basis or with colleagues as required. Consultants are required to develop relationships with each firm, to plan and deliver a programme of compliance monitoring and provide advice and assistance on the request of the client. Consultants are expected to have strong knowledge of SYSC, SUP and COBS as well as the FSA’s Principles, Training and Competence regime, the JMLSG guidance notes and the market abuse regime as well as common Unregulated Collective Investment Scheme structures. Consultants are also called upon to support the training needs of their clients and may be expected to provide training, including induction training, AML training or Market Abuse training. Consultants will be expected to: Provide written reports on compliance standards to client boards; Attend client board meetings as required; Interpret and advising on all areas of the FSA rules and amending and updating client manuals, systems and procedures as appropriate; Advise on, designing and implementing client SYSC arrangements Carrying out monitoring programmes and reporting to the board of client firms; Advise on and providing training to clients’ staff; Provide advice on special projects, including the launch of new businesses and products requiring authorisation; and Liaise with FSA on behalf of clients as required. CANDIDATE PROFILE Successful candidates will have the ability to work and get on well with a variety of people is essential as you will be required to establish and maintain a large number of client relationships. You should be someone who enjoys meeting new people and helping them meet their compliance objective. You should also have: Excellent communication skills which are vital to ensure that clients receive a professional, knowledgeable and efficient level of service You should be able to work as part of a team whilst often taking sole responsibility for key client relationships You should be a self-starter and be able to organise your own work load and programme of reviews with clients Be self reliant but ensure that you engage with colleagues as the need arises. Successful candidates will demonstrate strong academic background and relevant experience of compliance in an asset management or securities environment. You will be of graduate calibre and preferably have a legal accountancy or business studies qualification In addition, an MBA or accountancy, legal or industry qualifications such as the IMC or Securities Institute Diploma would be a distinct advantage You should have at least three years experience working within the compliance function of a fund management firm, at the FSA, or within the regulatory division of a leading accountancy or consultancy practice Alternatively, you may be a qualified accountant who has focused on the auditing of financial services firms and is now looking to move into a more regulatory focused position It is important that you have a strong understanding of the role of the FSA within the financial services industry and a good technical knowledge of the regulations that impact upon companies Specific product understanding should include institutional, retail or alternative fund management products. . £60,000.00 - Contact seller

Our client is a well respected financial management company. They are seeking to

Wed, 19 Nov 2008 07:10:56 GMT

employ a compliance manager with several years asset management experience to join the compliance team, you will be reporting to the Head of Compliance. They are also seeking to employ a compliance manager with retail and wholesale banking experience. You will also be reporting to the Head of Compliance A Regulatory Accountant is also needed, you will be a qualified accountant with several years PQE and have worked in banking previously holding a similar role. You will have a regulatory background or have been an auditor having worked within a banking compliance environment CANDIDATE PROFILE All candidates will be qualified to degree level or be professionally qualified and have at least 4 years experience within compliance within either asset management or banking. You will have excellent interpersonal skills and be able to communicate clearly and effectively at all levels of the business, taking into account the commercial aspects of the business. £70,000.00 - Contact seller

Our client, a firm of financial services solicitors, has developed a highly

Wed, 19 Nov 2008 07:10:56 GMT

successful international practice specialized in corporate finance and financial services. They advise some of the best independent financial services companies with a focus on alternative investments. We now have offices in Geneva and Luxembourg and are fast expanding our US and Asian networks. They are seeking to employ a pro-active, dynamic and bright individual to join their team. The ideal candidate will be a corporate finance/corporate lawyer or a banking lawyer with minimum 3 years PQE AND 3 years of relevant experience as well as with strong financial and corporate expertise and a solid legal training reflecting dedication and commitment to the practice of law. Responsibilities Commercial joint ventures Mergers and Acquisitions Preparation of private placing memorandums Setting up off shore companies and related structuring and tax advice Drafting commercial and service agreements Liaising with Cayman, BVI, Luxembourg, Irish and other jurisdictions Assisting with matters related to compliance, in the UK and abroad CANDIDATE PROFILE Excellent drafting skills Strong analytical skills Excellent organisational skills Ability to work independently and to report accordingly Second European language preferred notably French This is an outstanding opportunity that carries real prospects for professional growth in a fast paced and exciting work environment.. £150,000.00 - Contact seller

Our client is a well respected banking group whose business includes equities

Wed, 19 Nov 2008 07:10:56 GMT

They are seeking a skilled Compliance Analyst used to dealing with all aspects of compliance & have an extensive knowledge of the FSA Rule book. You will have an equities background The position is initially on a 6 months contract and should this prove successful the position may be made permanent The main purpose of the role will be primarily Compliance monitoring, but will also include; Account opening and documentation AML/KYC due diligence Relationships with the regulator Ad hoc advice to the businesses Maintenance of registrations and regular reporting Updating and information on regulatory initiatives and changes Any other reasonable tasks as required by the Compliance Officer or Senior management CANDIDATE PROFILE You will be a graduate with at least 2 years compliance experience and will come preferrably from an equities background and have good compliance experience in this area. You will also have Securities industry qualifications You will be used to working under pressure with a heavy workload and be able to prioritise your work with the minimum of supervision. Good opportunity to go permanent for the right candidate, with good prospects. £45,000.00 - Contact seller

Compliance Manager - one year contract c£50-£65,000

Tue, 18 Nov 2008 07:11:23 GMT
/>This leading world renowned investment and corporate banking organisation with a particularly strong M&A presence is looking for an experienced Compliance Professional, initially on a one year contract

The individual will form part of the Compliance department and will provide support while the Compliance Manager is on maternity leave.
Main Duties/Responsibilities
To coordinate and manage activities of two Compliance team members in implementation of local and global monitoring programmes, whilst the Compliance Manager is on maternity leave
Ensure accurate and timely presentation of results to Head of Compliance and Senior Management and to present sensible suggestions to improve procedures where appropriate
To assist in the review and, if appropriate, updating of compliance monitoring programmes. To undertake monitoring of the adherence of compliance procedures, primarily, across the Banking division
Updating and maintaining compliance procedures as necessary
Day to day duties include dealing with queries relating to general compliance issues, Senior Staff Loans, Staff Dealing Rules, Money Laundering and new starter inductions.
Coordinating other Compliance projects
Other ad hoc duties.

Call or email immediately for further details. £65,000.00 - Contact seller

Organisation DescriptionA Leading bank in Doha is looking to fill the role of

Mon, 17 Nov 2008 09:00:40 GMT

Manager of ComplianceJob DescriptionThe roles and responsibilities of the position will be as follows:Assist the Head of Compliance in providing advice, guidance, updates, alerts and technical assistance. Develop, implement and update compliance risk management governance policies. Implement periodic compliance risk monitoring program. Monitor the compliance breach escalation process. Develop, implement and monitor the conflicts of interests management process. Person SpecificationExperience and knowledge required from applying candidates:A professional compliance qualification. Proven track record in compliance, operational risk and AML management. Fluent in both English and Arabic. Strong project management skills. Strong analytical skills.. £45,000.00 - Contact seller

Deputy Head of Compliance Ref: VR/01024 London Branch of one of the premier sub

Sat, 15 Nov 2008 09:28:43 GMT

continent banks are looking for a Deputy Head of Compliance. Job Description: Working closely with the Head of Compliance, you will co-ordinate various compliance issues and ensure that the businesses operate in accordance with the Banks policies and procedures, and local regulatory requirements. Develop and implement relevant and appropriate monitoring activity in the businesses. Provide guidance to businesses on procedures and processes necessary to ensure, and demonstrate, compliance with the Banks policies. Ensure that businesses have adequate controls, procedures, systems, training and other arrangements (preventative and detective) to enable them to deal appropriately, and on a timely basis, with applicable requirements on compliance. To support the development of compliant, flexible and robust systems, procedures and controls within the businesses to meet compliance objectives and improve the businesses performance in these areas. To help ensure that relevant and reliable management information on these compliance issues is delivered to senior management on a timely basis in order to enable effective action to be taken where necessary. To facilitate effective and constructive sharing of knowledge and experience of compliance issues and to effectively engage with other parts of the Group. To manage the Compliance department in the absence of the Head of Compliance. Monitoring new regulatory requirements and analysing, preparing, and rolling-out new policies in line with those requirements Enhancing and expanding procedures and controls eg intranet, internal reporting Periodic reporting to senior management and Committees Person/ Experience required: Ability to communicate effectively, orally and in writing Ability to make a real contribution in a rapidly changing environment and thrive on change and the need to learn rapidly. Qualifications: Wide ranging compliance experience in a retail or investment banking financial services environment. Good understanding of current and anticipated UK requirements and supervisory expectations Salary: £70k - £73k. £73,000.00 - Contact seller

Our client is a Lloyd’s Managing Agent with upwards of £800million

Sat, 15 Nov 2008 09:28:43 GMT

syndicate capacity and is a wholly owned subsidiary of a company founded in the early 1900’s . The compliance department is small and the Compliance officer now seeking an Assistant Compliance Officer who will join the team and also possibly be responsible for over seeing the Compliance Assistant The main duties and responsibilities of the role will include the following Audit and Review Work including slip review and Exceptions Reports. Produce resulting MI reports and do necessary follow up to queries raised. Be familiar with Contract Certainty / PBQA requirements in order to provide support and advice to Underwriters. Monitor the business timetable, maintain rolling timetable. Assist with carrying out initial due diligence on new Brokers and Coverholders. Assist with the ongoing monitoring of Brokers and Coverholders. Ensure all internal documentation (eg Underwriter’s authorities and procedure manuals) are reviewed and updated on a regular basis. Assist with preparation of quarterly Independent Reviewers report. Assist with the collation of information for standard regulatory returns Assist with internal annual compliance statement Complaints administration Miscellaneous duties, as and when required. CANDIDATE PROFILE At least 4 years insurance experience, part of which should be with a Lloyd’s Managing Agency (desirable not obligatory) Professionally qualified (ACII or legal qualification) Enthusiastic, reliable and professional Good communication skills. £45,000.00 - Contact seller

Our client is a well regarded financial services institution with a global

Sat, 15 Nov 2008 09:28:43 GMT

presence. Due to further work commitments they are seeking to employ an experienced compliance professional for a minimum of six months to hold fort whilst additional hires are secured. You will be expected t make an immediate impact on joining. The main purpose of the role will be to assist the compliance department in the discharging of the group’s regulatory obligations. Strong Asset Management and additional regulatory knowledge is required to discharge the following duties; Stock Lending activity Transitions Fund Management business from both Principal as well as a Third party Service Provider (TPA). Fund Administration from Prime Broker position as well as Third Party Service Provider (TPA). Statutory compliance from both Fund Management as well as a TPA Fund Accounting knowledge from Compliance as well as regulatory point of view. Good technical skills for interpreting FSA rules and guidance and FSMA 2000Act Ability to understand and interpret all FSA returns Handling of annual compliance officers reports Preparation of the annual MLRO officers report Complaints handling and maintaining the complaints register Understanding the breaches and incidents process Key Performance Indicators CANDIDATE PROFILE Degree level education or equivalent. FSA and/or Legal qualification would be well regarded; Regulatory/Risk knowledge and/or IAQ qualification would be preferred; At least seven years experience gained within the financial services industry; Articulate with excellent communication and influencing skills; Ability to work and influence at all levels; Ability to work in solo, under pressure and to strict deadlines; Strong analytical skills, with a thorough and logical approach; Ability and willingness to learn new subjects within Compliance; Ability to listen and be guided on Compliance issues; Good technical ability and knowledge of relevant legislation and the regulatory environment to which BP2S UK operates; Capable of explaining rules unambiguously to the business; Excellent career prospects for the successful candidates .... £550.00 - Contact seller

Our client based in central Woking is currently recruiting for a junior fraud

Fri, 14 Nov 2008 07:09:08 GMT

analyst to work with and support the fraud team in the detection and prevention of fraud. Main duties include: Assisting the fraud team in the detention, prevention and administration of fraudulent bookings. To cover the fraud team rota due to staff absence To handle all internal and external fraud queries Follow the fraud process and guidelines Experience of working in an analytical and administration focussed role is essential. You must be educated to GCSE or equivalent with grade C or above in English and Maths. Experience of fraud management systems and analysis techniques is required. SQL or GDC experience is desirable. Competitive salary being offered including benefits - 23 days holiday, pension and staff discounts. £16,000.00 - Contact seller

Organisation DescriptionMy client a highly profitable Wealth Management

Fri, 14 Nov 2008 07:09:07 GMT

Organisation is currently seeking a Compliance Specialist to join their successful practice based in Bagshot. They specialise in dealing with very high networth clients on investment and pension advise. Job DescriptionTh main purpose of the role is to give general advice and instrustion on compliance procedures within the business with a strong understanding of the FSA requirements, managing the implementation and review of procedures to comply with FSA and with issues identified in montiroting. In addition the successful applicant will be required to deliver clear compliance training to any staff members and where applicable sign off material. You will also be responsible for ensuring the risk based monitoring is underataken across the business and ensure andy finding are followed up and actions taken where necessary. There will be a requirement to review financial promotions and literature within the business undertake T&C Monitoring of authorised and regulated individuals within thebusiness. The role will involve drafting monthly compliance reports to the board and assist in the preparation of data requried in respexcct of regular reports to the FS. In addition you will be responsible for the approved persons register and notify the FSA of any changes. Person SpecificationTo be considered you must have FPC or eqvalent and relevant exposure ot the Compliance Field. Knowledge and exposure to FSA, CCA MMA and DPA legislatino, plus a working knowlege of relevant FSA regulations. In return our client offers an excellent salary and benefits package.. £30,000.00 - Contact seller

AML - Compliance - Investment Banking - London . We are looking for an

Fri, 14 Nov 2008 07:09:07 GMT

experienced compliance professional with a proven track record of working in the financial services industry ideally within complaince for an investment bank with 3 to 5 years experience of anti-money laundering (AML). The successful candidate will be educated to degree level or equivalent, have man management experience, able to work on their own initiative, with full project lifecycle experience, able to deliver to tight deadlines operating within a high pressured environment. The ideal candidate will also be familiar with other FSA driven regulation like KYC for example. Please send your CV for more details.. £80,000.00 - Contact seller

Our client is one of the worlds leading providers of offshore legal and

Fri, 14 Nov 2008 07:09:07 GMT

fiduciary services. They currently have a Senior Vacancy for Head of ComplianceEurope based in Jersey, Channel Islands Head of Compliance for Europe is responsible for the effective management of the European compliance operational teams. The role has also a global responsibility for the ongoing development of prudentially regulated business compliance function. GROUP RESPONSIBILITIES: Establish an effective network with Group Policy and Strategy, Operational Risk and In-House Counsel to ensure that operational risks are identified and internal policies are implemented. Act as a key senior member of the Group Compliance function and contribute to the wider Group Compliance plan and strategy. Function as a proactive advisor and internal consultant on Group Compliance matters. Assist in the design of appropriate infrastructure and controls to prevent or mitigate risk and promote common risk standards across the Group. Provide strategic direction to Group Compliance on the application of both existing and new regulation outlining potential business impact and, as appropriate, producing plans to ensure the implementation of necessary changes to business practices. Ensure successful resolution of key issues and decisions on risk and compliance matters and deliver an efficient and cost effective service. Participate in the Jersey fiduciary new business take on process (Risk Assessment Committee). Participate in Group projects, operational processes, setting of standard policies, regulatory/risk initiatives and guidelines as required. Determine, prioritise, resource, implement and report on the Groups compliance needs. Obtain, analyse and action feedback from the Group with regards to the delivery of Group Compliance services. GROUP (EUROPE) RESPONSIBILITIES: In respect of all Group Compliance (Europe) support staff:- set objectives for all staff; supervise and evaluate performance; conduct yearly appraisals; monitor, coordinate and approve all holiday and training requests; recommend bonus and/or salary increases; provide direction and leadership and train as necessary; monitor and control overtime and generally regulate workflow; and take disciplinary action as appropriate. Oversee the daily functions of Group Compliance (Europe) including the due diligence review of all new and existing clients. Supervise the liaison with the Group (Europe)s new and existing clients and collection and upkeep of all due diligence documentation. Supervise the anti-money laundering training for all Group (Europe) employees. FIDUCIARY SERVICES RESPONSIBILITIES: Responsible for implementing compliance programme to ensure that its activities comply with all regulatory and risk management requirements. Responsible for the ongoing development and implementation of standard compliance procedures and risk initiatives across Group Fiduciary Services Responsible for providing training and support to Group fee earners on matters relating to compliance, risk management, regulation, legislation and any other issues associated with providing the highest quality of support service. Attend and/or constructively contribute to Group meetings (by invitation) in respect of issues directly pertaining to compliance. Identify business opportunities that may exist for Group in a regulatory or compliance context. Applicants must have seniority, skill and management abilities . A legal compliance background would not be suitable - the main focus for this position would be on the fiduciary side. Interested candidates may forward their CV in confidence.. £0.00 - Contact seller

Anti Money Laundering and KYC Analyst

Before

Thu, 13 Nov 2008 09:58:47 GMT

application:
Our client requires
3 - 5 years' working experience in an AML, compliance banks/brokerage firms or regulator.
Familiar with the operations of banking or securities and futures industry along with a strong understanding of the AM risks faced by the industry.

This role reports to the Manager of the AML/KYC Team and will undertake various responsibilities relating to the Identification & Verification of potential clients in order to uncover and manage any associated AML risks, as follows:

Conducting due diligence on prospective clients to meet Newedge Group & UK AML Regulations in compliance with FSA risk based approach.

Undertaking renewal due diligence on existing clients to ensure identification of changes in risk profile.

Ensuring the maintenance/updating of appropriate departmental records/databases.

Maintaining up to date knowledge of KYC/AML Rules and Regulations as well as products and

financial services.

3 - 5 years' working experience in an AML, compliance (major banks / brokerage firms) or regulator.

Familiar with the operations of banking or securities and futures industry along with a strong understanding of the AM risks faced by the industry.

Independent, self-motivated, proactive, analytical and willing to work under pressure.

Excellent communications skills.. £60,000.00 - Contact seller

COMPLIANCE ASSOCIATE DIRECTOROur client seeks a strong leader with previous

Thu, 13 Nov 2008 09:58:47 GMT

experience of managing a team; settingobjectives, conducting appraisals, dealing with disciplinary matters and allocating workloads, to take on the running of this well established team within a large and very well known City establishment. Candidates for this role must have a stable working background and have strong technical expertise, to monitor the following compliance issues: COBS/COLL/CASS/SYSC, Regulator developments, provide up to the minute advice to Operations and other internal departments; be the main point of contact for all AML queries, financial and product promotions, analyse compliance reporting and identify breaches and ensure resolution. IT IS ESSENTIAL that candidates have up to date, in-depth knowledge of the FSA handbook (COBS, COLL, CASS & SYSC); AML legislation and JMLSG guidance. CANDIDATES FROM INVESTMENT MANAGEMENT/BANKING preferred.. £70,000.00 - Contact seller

Compliance Manager for City Based Merchant Bank

Our

Thu, 13 Nov 2008 09:58:47 GMT

client, based in the heart of the City have an urgent requirement starting in November for an highly experienced Compliance Manager. This is a generalist role covering all areas of compliance. It is essential that you have investment banking/ M&A environment and ideally in a monitoring role

Your role..
The individual will form part of the Compliance department and will provide support while the Compliance Manager is on maternity leave.
Main Duties/Responsibilities
To coordinate and manage activities of two Compliance team members in implementation of local and global monitoring programmes, whilst the Compliance Manager is on maternity leave
Ensure accurate and timely presentation of results to Head of Compliance and Senior Management and to present sensible suggestions to improve procedures where appropriate
To assist in the review and, if appropriate, updating of compliance monitoring programmes. To undertake monitoring of the adherence of compliance procedures, primarily, across the Banking division
Updating and maintaining compliance procedures as necessary
Day to day duties include dealing with queries relating to general compliance issues, Senior Staff Loans, Staff Dealing Rules, Money Laundering and new starter inductions.
Coordinating other Compliance projects

Experience and Skills required
Experience of working within an investment banking/ M&A environment and ideally in a monitoring role
Excellent written and report writing skills
Excellent inter-personal skills to communicate clearly and effectively at all levels (both internally and externally);
Ability to build effective relationships between individuals, teams, lines of business and geographical/cultural boundaries
First class organisational skills, good attention to detail and accuracy are essential;
Ability to work well under pressure and meet tight deadlines;
University graduate. £75,000.00 - Contact seller

My client based in Ipswich are now recruiting for a Compliance Officer to join

Thu, 13 Nov 2008 09:58:47 GMT

their expanding company. The main purpose of this role will be to assist in the implementation of processes and procedures to enable the company to meet it's obligations under the Financial Service Act, Anti Money Laundering and Data Protection. Other duties will include:Preparing reportsCompliance reviewsAssisting with projectsPrepare Data protection requestsAssist in the investigations and resolutions of complaintsThis is a busy and varied role and requires an organised individualThe successful candidate must have:- Compliance knowledge and experience - Anti Money Laundering knowledge and experience - CeMAP Qualification or part qualified- Mortgage knowledge and experienceIf you would like to apply for this excellent opportunity - contact mad rabbit recruitment today. £25,000.00 - Contact seller

Organisation DescriptionThe company is a global provider of banking, financial

Wed, 12 Nov 2008 09:29:16 GMT

, advisory, investment and funds management services. The Funds Group a full-service fund manager with over 20 years experience and offices around the world. Job DescriptionDue to the continued growth of the business, including expansion in the number and complexity of products offered and the jurisdictions they are offered in, an opportunity has arisen in the Funds Groups Compliance & Operational Risk team. This team is responsible for oversight of the operational and compliance risk framework within the business globally and reports directly to the division heads, various boards and Risk Management Group. Person SpecificationCompliance experience either within a corporate or advisory environment, preferably within the financial services/funds management industry;Have an interest in having greater involvement with the business; Be flexible, with the ability to handle varying and competing deadlines;Be able to work independently; and Have strong communication skills, good rapport skills.. £150,000.00 - Contact seller

An excellent opportunity to join an established Futures & Options Brokers

Wed, 12 Nov 2008 09:29:15 GMT

based in the City of London. The successful person would have the ability to work in a fast moving environment, act calmly and professionally under pressure. Main DutiesReporting to the ComplianceOfficer, becoming involved in all trade monitoring aspects of the compliance function within the Company including:* routine monitoring of trading desks to ensure compliance with Exchange & FSA rules* Preparation of reports for submission to management* ad hoc projectsKey Skills* Educated to degree level or equivalent* 3 years compliance experience at middle level in a futures & options/brokerage environment* Good knowledge of trade monitoring (trading desk or floor)* Knowledge of exchange rulesAn excellent salary and benefits package is on offer. Please contact Maureen for more information. £43,000.00 - Contact seller

Our client is one of the UK's leading Brokers and they have a fantastic

Wed, 12 Nov 2008 09:29:15 GMT

opportunity for a Compliance Officer as a no. 2 in the Compliance Department, point of contact in the Compliance Officers absence, becoming involved in all aspects of the compliance function within the Company, including: Routine monitoring of trading desks to ensure compliance with Exchange and FSA rules; Review of due diligence and suitability checks on prospective clients; Ad hoc projects. The Person: - Good time management skills. - Excellent literacy and numeracy skills. - Excellent problem solving skills - Able to speak at meetings and give presentations. - Ability to work in a fast moving environment and act calmly and professionally under pressure. - Organised methodical with excellent attention to detail. - The person needs to be able to liaise with all levels with the organisation in a professional manner. Key Skills: - Educated to degree level. - 3 years compliance experience at middle level in a futures & options/brokerage environment. - Experience supervising others. - Good knowledge of FSA rule book - Knowledge of trade monitoring (trading desk or floor) - Knowledge of exchange rules - Knowledge of account opening processExcellent salary and benefits package. Please contact Maureen for more details. £60,000.00 - Contact seller

An excellent opportunity for a Senior Compliance Assistant to work for one of

Wed, 12 Nov 2008 09:29:15 GMT

the UK's leading Brokers. Your Duties will include: * Routine monitoring of trading desks to ensure compliance with Exchange and FSA rules * Preparation of reports for submission to management * ad hoc projects The successful person will be educated to degree level. They would have minim of 3 years experience at middle level in futures & options/brokerage environment An excellent salary and benefits package is on offer. Please contact Maureen for further details Disclaimer: Under United Kingdom immigration legislation, all individuals employed in the UK must have the appropriate permissions to live and work in the country. It is an offence to employ an individual who does not comply with these regulations.. £43,000.00 - Contact seller

Our client is a well respected global financial services international

Tue, 11 Nov 2008 07:13:03 GMT

institution. Part of their business also includes private banking and wealth management. Within this part of the business they are seeking to recruit a compliance manager to join the team The main purpose of the role will be to develop, promote and support a strong compliance culture across all areas of the business operating and/or licensed in London Other responsibilities will include; Add value to the business areas by providing positive advice and counsel on compliance-related matters; participating in business projects, business planning and marketing initiatives, and providing proactive solutions and guidance from a Compliance and Regulatory Risk standpoint. Support the business in its management and mitigation of reputation and regulatory risk resulting from non-compliance with applicable regulatory standards. Act as Regional Compliance Manager responsible for the provision of compliance advice and counsel to all regulated business activities carried on in or from within London with particular focus and coverage on the Investments Division which will include the Asset Management business. Work closely with the Senior Manager and other members of the Regional Compliance Team to ensure adequate coverage and focus under a risk-based approach; Act as primary contact point for Compliance related matters for senior management and boards of operating companies which together comprise the Investments Division; Act as Compliance contact for, and maintain positive relationship with, regulators in London; Proactively monitor and advise on forthcoming changes to the external regulatory environment that will impact upon operations; participate in relevant Industry/regulator working parties as needed; Oversee / support the management of specific regulatory issues and exposures; Provide Compliance support in relation to Internal and External Audit reviews as well as regulatory onsite inspections; Provide formal compliance reporting to relevant management committees and operating company boards in accordance with agreed schedule; Provide compliance support on new business initiatives (whether strategic, tactical or transactional), as appropriate, to ensure that compliance issues are taken into account and addressed at an appropriate stage; Review and approval of new marketing materials issued in or from within the jurisdiction. CANDIDATE PROFILE The successful candidate will have at least 5 years extensive compliance experience having worked in Private Banking/Wealth Management business and be familiar with FSA regulations pertaining to the business University degree, and/or appropriate designations as compliance professional, professional designation in other appropriate areas such as law, risk management and/or audit. Extensive compliance experience obtained in a financial services environment (ideally within a financial conglomerate), regulator and/or other comparable environment. Excellent knowledge of applicable laws and regulations, including those associated with banking, trust company business, investment business, collective investments funds, safety and soundness, and data protection / privacy. Strong interpersonal and people management skills Creative/strategic/analytical thinker able to demonstrate sound analysis and judgment and to then be able to provide sound, practical and clear advice and guidance to senior management; Solution oriented and decisive; Strong verbal and written communication skills; ability to generate clear, concise written and oral reports to management and external third parties Ability to understand and manage business conflicts, competing priorities etc as necessary. Partnership mentality with respect to rest of the business groups, including other functions Strong moral and ethical center Strong time management and organisational skills Ability to influence and drive change within business. £70,000.00 - Contact seller

Business Analyst/ Data Analysis/ MS Excel Expert/ Banking/ London. Our client a

Tue, 11 Nov 2008 07:13:03 GMT

major investment bank seeks a business analyst with strong data analysis skills who can manipulate data using MS Excel. The successful candidate with have advanced knowledge of Excel including macros, lookups, pivots, formatting and formulas. If successful you will be responsible for maintaining departmental material on the Co. intranet site and for producing MI reports for the business. Must have good project management skills and able to work as part of a team as well as under your own initiative. Please send your CV for more details.. £55,000.00 - Contact seller

Our client is a well respected financial management company. They are seeking to

Tue, 11 Nov 2008 07:13:03 GMT

employ a compliance manager to join the compliance team, you will be reporting to the Head of Compliance for the risk function. The main purpose of the role will be to develop and implement a regulatory risk framework and ensure its continuous improvement in line with best practice, and to provide risk expertise and advice across compliance including the management of risk in major business projects. Other duties and responsibilities will include the following; Design, development and implementation, and continuous improvement of, a compliance risk framework for Group Compliance, ensuring that the framework is in accordance with Group standards and best practice. Draft RCC and Board reports to an appropriate standard. Ensure the completion of all Director’s returns to Group Risk to time and quality. Ensure risk framework remains up-to-date with current regulatory environment. Draft and monitor successful deliver of the annual Compliance Plan. Provide risk expertise across Group Compliance. Liaison with Group Risk, as appropriate, to share risk knowledge and experiences. Provide risk input into major business projects in conjunction with Group Compliance Policy, and manage the resulting mitigation actions. Keep up to date with regulatory developments and rule changes, including the FSA's risk based approach. CANDIDATE PROFILE The successful candidate will be of graduate calibre with a minimum of 3 years asset management experience. You may also have worked at a regulator or come form a consultancy background where business covered was mainly asset management. You will also have good knowledge of the structure of the FSA handbook/rules along with the ability to extract relevant rules, guidance etc. from the handbook. Awareness of relevant regulatory publications/current regulatory issues Awareness of the various regulators relevant to the activities of the company, along with their areas of responsibilities. Awareness and understanding of the financial services industry and the changes facing the industry. Good interpersonal and management skills are also required and an ability to work on your own account and to deadlines. £55,000.00 - Contact seller

Our client is a well respected firm of accountants. They are seeking regulatory

Tue, 11 Nov 2008 07:13:03 GMT

specialists to join the growing team at manager and senior manager level. You would be joining a close knit team of accountants and former industry practitioners, working in the area of financial regulation and compliance. Due to expansion, there is an opportunity for individuals to gain unique experience while developing a challenging career The role would involve working with clients across all the major financial services industries, with the opportunity for overseas travel being a possibility. Our clients include stockbrokers, banks, investment managers, independent financial advisers and government bodies. Although the main focus at this time is a requirements for candidates with sound regulatory knowledge of Retail and Investment Banking. THEY ARE SEEKING CANDIDATES IN LEEDS AND POSSIBLY LONDON CANDIDATE PROFILE Successful candidates will be of graduate calibre and be qualified Accountants and/or have industry qualifications and also a minimum of two years regulatory experience We are looking for individuals with good communication skills. You should be able to work on your own initiative, be well organised and have a proven track record of delivering a high level of client service. You should have a genuine interest in financial services and regulatory issues.. £70,000.00 - Contact seller

Our client is an international banking organization based in Central London

Tue, 11 Nov 2008 07:13:03 GMT

. They are seeking to recruit a Compliance Assistant. The main purpose of the role involves assisting the Head of Compliance/MLRO in ensuring adequate compliance oversight of the banks activities. Other duties will include the follow; Developing, maintaining and implementing the banks risk based compliance monitoring program. This will include producing concise and detailed monitoring reports and ensuring that issues raised are resolved/or escalated in a timely manner Assisting in providing compliance and anti money laundering training to all employees Maintaining the breaches and errors register, complaints register and other compliance records CANDIDATE PROFILE The successful candidate will be a graduate preferably with a legal or science degree, and also hold a recognised industry qualification e. g. SII Diploma in Compliance or other equivalent or must be willing to work towards attaining a recognised industry qualification You will have at least 18 months compliance experience gained within the compliance department of a retail commercial bank or within a financial services company focused on the retail market. Excellent technical ability and in-depth knowledge of relevant legislation and regulation Good understanding of financial markets and current regulatory issues Good verbal, written communication and influencing skills Must be able to work without close supervision and to strict deadlines Must be able to work as part of a team and on own initiative Strong project management, problem solving and analytical skills.. £40,000.00 - Contact seller

Leading Global financial services firm requires a Compliance manager to oversea

Sat, 08 Nov 2008 07:11:53 GMT

its UK operations. Reporting to the in-house lawyer/head of legal&compliance the successful candidate will be expected to hit the ground running and take control of the entire compliance function. Key Skills Approx 4-5 solid years experience of compliance role in investment baking or asset managementLaw degree preferred. Base 75k discretionary bonus.. £76,000.00 - Contact seller

Compliance Associate Our prestigious client seeks a talented and experienced

Sat, 08 Nov 2008 07:11:53 GMT

Compliance Associate to join their very stable and lively team. Reporting to the Senior Compliance Manager your day to day responsibility will be to assist in the maintenance of a regular programme of compliance monitoring within retail operations. You will have a solid background in compliance and will be familiar with FSA, rules e. g. CIS and COB etc. HMRC and ISAs. Mainly focusing on breach reporting but also occasional complaint reporting, your day to day role will be to ensure that discrepancies are reported and that all issues are satisfactorily resolved. It would be hugely beneficial if you had both a knowledge and experience of unit dealing, registration and settlement processes and controls. It is essential that you have the ability to analyse and problem solve and be competent at report writing. Additionally our client would ideally like fund administration and processes project work experience, however this is not essential. The ability to communicate at all levels is paramount, together with strong team player skills and the ability to work unsupervised. You will have a great attention to detail, be able to work to deadlines and have a proactive approach to your work and feel confident in asking for help if required. If you have the right skills and experience for this role, then please contact THE AGENCY with an up to date CV and a covering letter explaining the relevancy of your application.. £18,000.00 - Contact seller

AN ESTABLISHED W. 1 BASED INTERNATIONAL BANK SEEKS A CANDIDATE WHO MAY HAVE SOME

Sat, 08 Nov 2008 07:11:53 GMT

BACKGROUND IN A CUSTOMER RETAIL/PRIVATE BANKING ENVIRONMENT TO UNDERTAKE A 3 MONTH PROJECT IN ITS SMALL COMPLIANCE UNIT . CANDIDATES MUST BE PC LITERATE AND HAVE RECENT DEMONSTRABLE COMPLIANCE EXPERIENCE IN BANKING . PARTICULAR BACKGROUND IN KYC AND AML PROJECTS WITHIN COMPLIANCE IS ESSENTIAL . £15.00 - Contact seller

Vacancy No: 6143. Title: Compliance Officer and Money Laundering Compliance

Sat, 08 Nov 2008 07:11:53 GMT

Officer For Client Entities Location: Jersey Salary: IRO £50-60k Essential: JFSC regulated eg: ICSA, STEP, ACIB Main Job Purpose The primary role is to act as Compliance Officer for client fund entities ensuring that they adhere to all Compliance related matters and reporting to the relevant board of directors on a quarterly/semi-annual basis. The jobholder will be responsible for liaising with the Territory Head of Compliance to ensure that they keep up to date with current compliance issues Key Responsibilities: Supervision of activities of team under management; Provide technical support to team; Oversee training and development of subordinates; Monitor quality standards identify & implement improvements; Ensure all deadlines for tasks are achieved with reasonable time-scales. As Compliance Officer/MLCO to client fund entities: Provide guidance to the relevant directors on the proper application and interpretation of laws, regulations and polices; Provide the directors with guidance in the development, implementation and maintenance of polices, procedures and practices to cover regulated activities; Implement and maintain a compliance monitoring programme that provides the directors with reasonable assurance that key regulatory risks are being adequately managed; Provide regular and accurate reports to the board of directors, on regulatory and compliance matters; Attendance at quarterly/semi-annual board meetings; Identify, assess and manage regulatory risk; Co-ordinate all communications with the JFSC for the entities; Maintaining relevant registers for recording breaches, complaints, gifts, training etc; Assist in the development of a compliance culture; To manage Money-laundering risks in line with local legislation; To formalise and maintain a Money-laundering Regulatory matrix: Ensure AML training is conducted; Identify Money-laundering risk areas; and Develop adequate policies and procedures. Technical Skills - Essential: Comprehensive knowledge of relevant laws and fiduciary principles in appropriate jurisdictions. Good understanding of corporate secretarial responsibilities and duties and the responsibilities and duties of directors. Knowledge of BP2S Policies & Procedures Desired: A practical awareness of accounting principles and statutory requirements. Practical knowledge of Securities Services Products. Qualifications & Industry Experience - Essential Requirements An industry recognised professional qualification such as ACIB, ICSA, STEP etc. Excellent understanding of PC applications. Desired Requirements Leadership, influencing and coaching skills. Commercial Awareness; Personal Style - Essential Requirements Effective communication and negotiation; Client service orientation; Goal orientation; Time management - Ability to effectively delegate and manage tasks within tight deadlines; Ability to work under pressure and maintain enthusiasm as an example to the team under management Desired: Judgment and problem solving.. £60,000.00 - Contact seller

Adjudicators Candidates will be professionally qualified and looking to progress

Sat, 08 Nov 2008 07:11:52 GMT

their career within a professional environment you can come from a sales or technical environment. During the life cycle of a case, you can expect to get involved in mediation between consumers and organisations, learn about the different laws that could impact on your work, and use your flair for both written and verbal communication. These are superb opportunities for candidates with all round financial services experince with a flair for customer services and the willingingness to enhance their career . Benefits are unrivelled The rewards and benefits, naturally, reflect the importance of the role. Benefits include 25 days holiday and non-contributory pension.. £26,000.00 - Contact seller

An excellent opportunity for a Senior Compliance Assistant to work for one of

Sat, 08 Nov 2008 07:11:52 GMT

the UK's leading Brokers. Your Duties will include: * Routine monitoring of trading desks to ensure compliance with Exchange and FSA rules * Preparation of reports for submission to management * ad hoc projects The successful person will be educated to degree level. They would have minimum of 3 years experience at middle level in futures & options/brokerage environment. Good knowledge of FSA rule book and trademonitoringAn excellent salary and benefits package is on offer. Please contact Maureen for further details Disclaimer: Under United Kingdom immigration legislation, all individuals employed in the UK must have the appropriate permissions to live and work in the country. It is an offence to employ an individual who does not comply with these regulations.. £53,000.00 - Contact seller

Manager - Risk & Compliance - Financial Services Group (FSG) Risk and

Fri, 07 Nov 2008 07:09:43 GMT

Compliance Manager Our Client is a pre-eminent provider of investment banking and financial services. Internationally they focus on select markets where they are able to provide special value. The Financial Services Group is dedicated to the distribution of financial services via financial advisers and directly to individuals. The Group offers wealth-creation solutions including: managed funds including cash management full service stockbroking financial planning private banking Role description: Opportunity for an experienced Compliance professional to become part of the business team developing a new business unit within a large International Firm. A key part of this role will be to coordinate the set up and ongoing management of the risk and compliance function for a new Wrap and Wealth management business. PRINCIPLE ACCOUNTABILITIES Work Performed ? Manage the preparation of permission variations and responses to regulatory requests for the new business ? Be responsible for the implementation and ongoing monitoring of the risk management framework within the new business ? Manage the identification and recording of business risk and recommend solutions ? Help the business maintain appropriate systems and controls to satisfy our regulatory requirements and license obligations; ? Provide regulatory guidance to the business on current and forthcoming regulatory and statutory requirements, providing input to product and operational design; ? Monitor FSA obligations for training and ensure the business meets its obligations; ? Investigate and monitor the resolution of any client complaints Preferred Experience and skills: ? Minimum of 5 years experience in either a Compliance or Legal team within a directly regulated financial services firm with responsibility for compliance oversight and handling regulated complaints in accordance with FSA rules and guidance. ? A good understanding and working knowledge of the FSA handbook of rules and guidance and have the full Financial Planning Certificate or equivalent. ? Additional compliance or technical qualifications including AFPC Pensions, Taxation and Trusts and Pensions Simplification would be beneficial. ? Pro-active approach to solving and preventing problems. ? Strong analytical ability, judgment and administrative skills. ? Work under pressure (short deadlines) while remaining focused on completion of long term project or objectives. ? Ability to work as part of the team to implement a new business The company provides an excellent pay and bonus structure, commensurate with working for a leading International Investment Bank.. £80,000.00 - Contact seller

Compliance Manager for City Based Merchant Bank - Ongoing Maternity Contract

Fri, 07 Nov 2008 07:09:43 GMT

.

Our client, based in the heart of the City have an urgent requirement starting in November for an highly experienced Compliance Manager. This is a generalist role covering all areas of compliance. It is essential that you have investment banking/ M&A environment and ideally in a monitoring role

Your role..
The individual will form part of the Compliance department and will provide support while the Compliance Manager is on maternity leave.
Main Duties/Responsibilities
To coordinate and manage activities of two Compliance team members in implementation of local and global monitoring programmes, whilst the Compliance Manager is on maternity leave
Ensure accurate and timely presentation of results to Head of Compliance and Senior Management and to present sensible suggestions to improve procedures where appropriate
To assist in the review and, if appropriate, updating of compliance monitoring programmes. To undertake monitoring of the adherence of compliance procedures, primarily, across the Banking division
Updating and maintaining compliance procedures as necessary
Day to day duties include dealing with queries relating to general compliance issues, Senior Staff Loans, Staff Dealing Rules, Money Laundering and new starter inductions.
Coordinating other Compliance projects

Experience and Skills required
Experience of working within an investment banking/ M&A environment and ideally in a monitoring role
Excellent written and report writing skills
Excellent inter-personal skills to communicate clearly and effectively at all levels (both internally and externally);
Ability to build effective relationships between individuals, teams, lines of business and geographical/cultural boundaries
First class organisational skills, good attention to detail and accuracy are essential;
Ability to work well under pressure and meet tight deadlines;
University graduate. £75,000.00 - Contact seller

Private Bank are seeking to recruit an experienced Anti-Money Laundering

Fri, 07 Nov 2008 07:09:43 GMT

Manager. You will be responsible for Anti-Money Laundering related Compliance issues and Fraud / Financial Crime for the firm. Duties will include ensuring the monitoring programme is robust, investigation and resolution of regulatory breaches, recommend improvements to compliance procedures, participate in appropriate projects and initiatives, liaising with law enforcement authorities, produce reports for senior management, and provide advice / guidance to the business. Experience in a similar role is sought.. £55,000.00 - Contact seller

Private Bank are seeking to recruit an experienced Anti-Money Laundering

Fri, 07 Nov 2008 07:09:43 GMT

Organisation DescriptionOne of the largest banks in Qatar is looking for Sharia

Fri, 07 Nov 2008 07:09:43 GMT

Compliance Manager. Job DescriptionPrevious knowledge of working in Sharia law is mandatoryPerson Specification\. £0.00 - Contact seller

Organisation DescriptionThis is an outstanding opportunity to work with one of

Thu, 06 Nov 2008 07:11:53 GMT

the worlds largest financial services organisations that pride themselves on their strategic partnerships with clients. An employer of choice who rewards and actively develops its staff. With a fast-paced advisory lifestyle, packed with global and managerial opportunities, Reed welcomes you to one of the worlds leading professional Financial Services OrganisationsJob DescriptionThe Senior Compliance Professionals main focus is to assist the Head of Australia Compliance with day to day compliance responsibilities to manage the firms regulatory risk and preserve the Firms franchise through assisting the local and off-shore regulated institutional businesses to comply with, and monitor for compliance with, applicable laws, regulations, rules, internal policies and procedures, standards and industry best practice. Person SpecificationExisting Compliance knowledge and 4+ years experience from an Institutional Investment Firm or working in a compliance department or with a regulator. Previous compliance or legal experience is definitely an advantage and is preferred, although the candidate could have been in another highly regulated field. Graduate/Undergraduate degree in either Law, Economics, Commerce, Business or Post Graduate in Investment & Applied Finance with the Securities Institute, or other industry qualificationStrong Knowledge of the Corporations Act and ASX Market Rules. Working knowledge of the SFE Operating and Clearing RulesStrong practical product knowledge of cash equities, derivatives (ETOs, Futures, OTCs), fixed income products and automated trading enginesPreference will be given to candidates with strong institutional equity and fixed income Compliance experience with a Global Investment Firm. £0.00 - Contact seller

Responsible for implementation and execution of the Operational Risk Management

Thu, 06 Nov 2008 07:11:53 GMT

program for IWMs operations and business in the British Isles region. Operational Risk covers a broad spectrum of risk, as defined below in Primary Responsibilities. Operational Risk is defined as the risk of loss resulting from inadequate or failed internal processes, people and systems, or from external events Function as a proactive advisor, a source of information, and a check and balance. Ensure that appropriate risk management frameworks have been developed, implemented and maintained in the IWM BI region and that all employees have a clear understanding of IWMs risk management practices. Clearly communicate what IWMs operational risk tolerances are; and ensure IWM BIs business senior and line management understand the impact of exercising prudent and reasonable risk mitigation controls within their respective business lines; and that there is alignment to GRMs and GTOs expectations, as laid out in the Operational Risk Management Framework. Work closely with the IWM BI region business senior and line management to ensure IWMs strategy around operational risk management is implemented. Act as a point of reference for other parts of the business, including Group Risk Management, in matters that affect operational risk management within the IWM BI businesses. Develop a strong risk management culture within all parts of IWM BIs business segments. Add value to the IWM BI business segments by participating in (but not limited to) business planning and new initiatives, projects, products and markets; and by providing proactive solutions, sound advice and guidance from an operational and general risk management perspective. Key partner with other IWM Operational Risk team members, IWM Compliance, IWMs senior and line management team, and Group Risk Management. Proactively advise staff and management on risk issues, using a solution based approach that takes commercial necessities into account. Ensure that the risk / reward equation is aligned in the business. Provide project management when required with respect to projects which have a high risk element. KNOWLEDGE AND SKILLS REQUIRED Experience in Operational Risk Management, preferably in a widespread, multi unit organisation Ability to develop an understanding and experience of RCSA / SOX methodology (if applies to business line) Operations experience Consultancy / audit experience Ability to multi task effectively Good conflict management, negotiation, communication, interpersonal and influencing skills. Good organizational and management skills Analytical and decisive Ethics and values Managerial Courage Comfort around senior and line management Used to dealing with ambiguity, ability to make decisions with imperfect information Ability to develop an understanding of Basle II requirements and the Group approach (if applies to business line) Knowledge of operational risk management principles Knowledge of consultancy / auditing principles Experience in the high net worth private banking segment preferred, particularly in-depth knowledge of IWMs operations . £70,000.00 - Contact seller

JOB SPECIFICATION Our client is a well respected international asset management

Thu, 06 Nov 2008 07:11:53 GMT

institution. They are seeking to employ a Compliance monitoring manager on a temp to permanent basis, if both parties are agreeable after a period of three to six months The role will involve supporting the Head of Compliance with the monitoring of various businesses. You will have a good understanding of the asset management business and you will has knowledge and be familiar with best execution, IPO policy and be able to handle a risk based monitoring programme under the direction of the Head of Compliance but with little assistance, you must therefore be able to work competently on your own account. CANDIDATE PROFILE You will be of graduate calibre and have a minimum of three years compliance experience within an asset management environment. You must have good risk based monitoring experience and be able to work on your own account. It is also a pre- requisite that you have excellent communication skills and be comfortable working with all levels of the business as well as possible third parties.. £50,000.00 - Contact seller

A large investment and asset management bank requires a Vice President in

Thu, 06 Nov 2008 07:11:53 GMT

Compliance to take responsibility for the compliance induction of all new staff, annual training, assist in updating and writing policies and procedures as well assisting in any other Compliance activities which may arise. Your main responsibilities will include:Responsible for maintaining records for Compliance Training, and FSA Compliance Registration for EMEA;Responsible for the development and maintenance of a new training records database for the EMEA region;Arranging examinations, and following up examination results;Responsible for FSA Registration tracker spreadsheets;Undertaking the monthly/quarterly compliance monitoring program and suggesting improvements;Assist in preparing information for the regulators;Delivery of Compliance induction training;Arrange, track and monitor Annual FSA training requirements;Ideally you willHave good organisational skills;Have the ability to work unsupervised, and willingness to work extra hours when required to do so;Extensive working knowledge of FSA rules and regulations and other regulators as appropriate;Compliance experience required in registrations and training requirements, and updating policies and procedures;This is a temporary contract for 6 months and the possibility of an ongoing contract. The successful candidate will be are eager to work within an skilled team environment and will be rewarded with a competitive hourly rate.. £132.00 - Contact seller

We currently have 3 PA vacancies that sit within our Legal division in the

Wed, 05 Nov 2008 07:12:46 GMT

following areas: Corporate Legal, Compliance and Group Litigation. All successful candidates will provide comprehensive personal and secretarial support to their dedicated manager and wider team. Some of your duties will include, but are not limited to: Efficient diary management. Act as point of contact on all appointments. Understand Executives priorities to aidtheir working day. Ensure meetings/activities that are arranged are aligned with objectives and challenge/reallocate those that do not. Plan and organise the calendar for receipt of briefings ahead of all agreed appointments, ensuring that material is in a format that highlights the importance / value at stake of the appointment. Book all necessary travel arrangements and arrange itineraries including obtaining relevant entry visas. Take responsibility for driving and completing resultant work/actions and trouble shoot and unlock any key business issues, which may arise. Receive incoming mail. Open and allocate items with back-up papers, when appropriate originating replies under own signature or drafts and prepares letters/documentation for signature by Manager/Team. Control and manage diary, reminding Manager/Team of future commitments/matters requiring attention. Make appointments, travel, accommodation and itineraries under own initiative. Organise a wide range of meetings and functions. Liaise with internal/external contacts arranging suitable dates, locations, availability of personnel, agreeing menus, etc. always adhering to Bank guidelines. Act upon telephone calls according to urgency and importance, referring to Manager/Team only when essential. Act as receptionist for influential customers on visits, provide hospitality as required and convey a professional image. Create and maintain records and filing systems, which may include confidential/sensitive information.. £0.00 - Contact seller

A position has just become available for a Compliance Manager to work for this

Fri, 31 Oct 2008 07:09:36 GMT

financial services firm on a one maternity contract. Our client is a company that has been at the centre of the financial markets for decades and pride themselves on their strong market reputation. They are keen to recruit an experienced Compliance Manager who can ?hit the ground running? and, ideally they are looking to recruit someone from a financial or investment banking background (although this is not essential. )

What is essential is the ability to build strong relationships quickly as well as the ability to show strong communication and written skills, in particular in report writing.
First class organisational skills are also a must and a degree would be preferable.

The individual will form part of the Compliance department and will provide support while the Compliance Manager is on maternity leave.

Main Duties/Responsibilities
To coordinate and manage activities of two Compliance team members in implementation of local and global monitoring programmes, whilst the Compliance Manager is on maternity leave
Ensure accurate and timely presentation of results to Head of Compliance and Senior Management and to present sensible suggestions to improve procedures where appropriate
To assist in the review and, if appropriate, updating of compliance monitoring programmes. To undertake monitoring of the adherence of compliance procedures, primarily, across the Banking division
Updating and maintaining compliance procedures as necessary
Day to day duties include dealing with queries relating to general compliance issues, Senior Staff Loans, Staff Dealing Rules, Money Laundering and new starter inductions.
Coordinating other Compliance projects
Other ad hoc duties. £65,000.00 - Contact seller

Our client, a major UK investment bank, is seeking to recruit a Compliance

Fri, 31 Oct 2008 07:09:36 GMT

Manager for a 9-12 month contract, covering maternity leave. This is a high profile and diverse role and duties will include: manage two compliance officers in local and global monitoring programmes; ensuring accurate and timely presentations to Head of Compliance and senior management; assist in the review and updating of compliance monitoring procedures; dealing with queries relating to issues such as senior staff loans, staff dealings rules, money laundering and new starter inductions. You will have prior extensive experience of working within a compliance department of an investment bank/M&A environment. You will also have excellent report writing and interpersonal skills. Additionally you will have the ability to build effective relationships, strong IT skills (Word, Excel, Access and PowerPoint) This is a great opportunity to join this high profile organisation.. £60,000.00 - Contact seller

KYC Manager/ Client on-boarding Manager Ref: VR/01046 My client is one of the

My client is highly regarded global bank with a consistently well performing

Organisation DescriptionWorking within the Customer Service Recovery Centre for

A fantastic opportunity has arisen within this City Based Investment House for a

Our client is a large and well respected financial services group based in

Our client is a specialist provider of compliance consulting services and has

Our client is a well respected financial management company. They are seeking to

Our client, a firm of financial services solicitors, has developed a highly

Our client is a well respected banking group whose business includes equities

Organisation DescriptionA Leading bank in Doha is looking to fill the role of

Deputy Head of Compliance Ref: VR/01024 London Branch of one of the premier sub

Our client is a Lloyd’s Managing Agent with upwards of £800million

Our client is a well regarded financial services institution with a global

Our client based in central Woking is currently recruiting for a junior fraud

Organisation DescriptionMy client a highly profitable Wealth Management

AML - Compliance - Investment Banking - London . We are looking for an

Our client is one of the worlds leading providers of offshore legal and

Anti Money Laundering and KYC Analyst Before

COMPLIANCE ASSOCIATE DIRECTOROur client seeks a strong leader with previous

Compliance Manager for City Based Merchant Bank Our

My client based in Ipswich are now recruiting for a Compliance Officer to join

Organisation DescriptionThe company is a global provider of banking, financial

An excellent opportunity to join an established Futures & Options Brokers

Our client is one of the UK's leading Brokers and they have a fantastic

An excellent opportunity for a Senior Compliance Assistant to work for one of

Our client is a well respected global financial services international

Business Analyst/ Data Analysis/ MS Excel Expert/ Banking/ London. Our client a

Our client is a well respected financial management company. They are seeking to

Our client is a well respected firm of accountants. They are seeking regulatory

Our client is an international banking organization based in Central London

Leading Global financial services firm requires a Compliance manager to oversea

Compliance Associate Our prestigious client seeks a talented and experienced

AN ESTABLISHED W. 1 BASED INTERNATIONAL BANK SEEKS A CANDIDATE WHO MAY HAVE SOME

Vacancy No: 6143. Title: Compliance Officer and Money Laundering Compliance

Adjudicators Candidates will be professionally qualified and looking to progress

An excellent opportunity for a Senior Compliance Assistant to work for one of

Manager - Risk & Compliance - Financial Services Group (FSG) Risk and

Compliance Manager for City Based Merchant Bank - Ongoing Maternity Contract

Private Bank are seeking to recruit an experienced Anti-Money Laundering

Private Bank are seeking to recruit an experienced Anti-Money Laundering

Organisation DescriptionOne of the largest banks in Qatar is looking for Sharia

Organisation DescriptionThis is an outstanding opportunity to work with one of

Responsible for implementation and execution of the Operational Risk Management

JOB SPECIFICATION Our client is a well respected international asset management

A large investment and asset management bank requires a Vice President in

We currently have 3 PA vacancies that sit within our Legal division in the

A position has just become available for a Compliance Manager to work for this

Our client, a major UK investment bank, is seeking to recruit a Compliance

Anti Money Laundering and KYC Analyst

Before

Compliance Manager for City Based Merchant Bank

Our