Complinet | Recruitment | Job List

Anti-Money Laundering Officer : Vice President

1258015277

Compliance & Regulation | Competitve |

Our client is a premier global investment bank . This is a a senior role within a highly visible department . The Vice President will report to the Head of UK AML Compliance. He/She may also have direct reports.

Job Description
The primary responsibilities of this role include:

Assist with the management and running of the team.
Provide oral and written advice to both Business and Operations departments on AML and Sanctions policies and procedures.
Interpret AML laws for jurisdictions across Europe Middle East and Africa (EMEA) and assist with the drafting of policies and procedures.
Assist with reviews to assess compliance with EMEA AML laws and regulations.
Use periodic test checks to monitor compliance with Firm client identification policies and procedures and relevant laws and regulations. Report results to Operations management.
Conduct due diligence on high risk clients and discuss issues with senior management. Represent the AML Group at the European Franchise Committee.
Manage the output from transaction monitoring system on a daily basis. Assist with the review of scenarios and potential amendments to the system.
Work with global colleagues to improve processes and ensure, where possible, procedures and processes are consistent.
Review potential suspicious activity and draft reports for SOCA.
Ensure enquiries from regulatory and police authorities, exchanges and clients are promptly and thoroughly investigated and addressed and liaise with divisional colleagues on these matters.
Manage project work.

Skills Required

Experience in a financial environment with a leading bank, securities house, regulator or accountancy practice preferably within a regulatory compliance orientated role.
Technical and practical expertise of the UK Money Laundering Regulations and the Joint Money Laundering Steering Group Guidance Notes for the Financial Sector ("the Guidance Notes").
Confident, with initiative, excellent judgment, analytical and communications skills.
Management and leadership skills.
Numeric and computer skills ideal.
Salary: competitive and commensurate with experience

Joslin Rowe - Winner of 4 UK Recruiter Awards including Best Accountancy/Financial Recruitment Firm and Best Office Support Agency.
Joslin Rowe is a Randstad company. Joslin Rowe Associates Ltd encourages applications from individuals from all backgrounds but candidates must be able to demonstrate their ability to work in the UK. Joslin Rowe Associates Ltd is acting as an Employment Agency in relation to this vacancy.

German speaking KYC / Due Diligence / Remediation Analyst

1258387142

Compliance & Regulation | £250 per day |

My client is seeking an experienced KYC / Due Diligence Analyst who is fluent in German, with around 2 years previous due diligence / remediation exposure to join their Financial Crime Change team.

You will need to demonstrate the ability to cope in a fast paced commercial environment, be able to deal with high volumes of work, prioritise, be pragmatic and demonstrate good research, investigative and decision making skills.

Candidates that are immediately available (or on a fairly short notice period) and available to interview this week, will be at an advantage.

If you feel you have appropriate exposure for this role, please kindly contact Michelle asap on 0203-008-6639 or michelle.myers@twentyrecruitmentgroup.com

Compliance Manager, EMEA

1258131144

Compliance & Regulation | Competitve |

Our client is a global multinational in the manufacturing and engineering sectors with several definable markets. One of its highly successful divisions is seeking its first ever Compliance Manager for the EMEA region.

In this brand new role you will report to the core management group for the EMEA region and be instrumental in driving corporate ethics and compliance processes from the top down, to maintain the company’s reputation as having the finest integrity in the world. You will have a key role to play in raising awareness of compliance generally and assessing and perfecting existing processes, designing and implementing new ones and monitoring their effectiveness.

This role requires a high level of creativity, energy and enthusiasm. The appointee will have proven communication skills since he or she will need to have an influence at all levels, changing perceptions and gaining commitment. Training and presentation skills are a must, as is the ability and desire to travel to key sites in Europe, the Middle East and Africa.

Essential requirements are:-

At least a 5 year track record within industry in a pure Compliance Management role (you can be a lawyer by training, but you must have moved into a compliance role within industry - this is not a legal role and you will not give legal advice).
Compliance experience regarding Anti-corruption, Competition and Data Protection.
Fluent English.

It would be advantageous if you also have experience of FCPA matters, have worked in a pan-European role before, and have a degree of fluency in at least one other European language.

You can be based in the UK (London/Home Counties), Brussels, Italy, Germany, France, Switzerland or the Netherlands.

Florit Brooke acts as an employment agency. Salary and PQE levels, where stated in advertisements, are given purely as a guide.

Senior Associates – Waivers Team (12-month, fixed-term contracts)

1256730019

Compliance & Regulation | 55k Annually |

Do you have a broad understanding of financial and risk markets, along with applied knowledge of the Financial Services Authority (FSA) Rulebook? If you're looking for a challenging, varied and high-profile role that offers significant responsibility and influence, a contract with the Waivers Team, part of the Permissions, Decisions and Reporting Division at the FSA could give your career a major impetus.

New prudential liquidity rules and guidance contained within the Prudential Sourcebook for Banks, Building Societies and Investment Firms (BIPRU) are having a direct impact on the work of the Waivers team. The team will be assessing complex and high-risk waiver applications from up to 350 financial services firms, before making recommendations whether or not to waive or modify the FSA rules.

Your role will focus specifically on liquidity modifications. This will involve building relationships and managing external stakeholders while their applications progress, as well as co-ordinating the whole application process across the FSA.

We are looking for treasury, liquidity risk, operational risk or credit risk experience gained in an FSA-regulated firm - a bank or investment firm would be ideal, together with a detailed understanding of the international liquidity regime. In addition, you will need strong relationship-building skills, plus the ability to work under the pressure of tight deadlines.

To find out more and apply, please visit www.fsa.gov.uk/careers and search under reference RE00469.

Closing date: 12 November 2009.

Compliance Consultant - Retail Fund Management

1258405348

Fund/Asset Management | £60k - 65k + good benefits |

JMEWLITD1

City

£60k - 65k + good benefits

Compliance Consultant - Retail Fund Management

• Represent compliance on product development and operational projects, providing technical advice on requirements relating to those projects

• Responsibility for the preparation of legal documentation (prospectuses, simplified prospectuses) and agreements required to establish new funds or resulting from changes to existing funds

• Liaise with fund lawyers and depositaries on UK authorisation and registration of UCITS funds outside of the UK, including arranging for the formatting, translation and filing of documents

• Assist in the assessment and implementation of changing regulation as it affects products and distribution

• Provide compliance support to operational areas of the business in day to day issues arising

• Develop good working relationships with overseas advisors/law firms

Ideally the candidate should have the following:

Extensive experience in a similar role within the compliance function of an asset management firm or similar relevant experience.

• Thorough technical knowledge of the practical application of COBS and CIS rules

• Good analytical skills

• Experience in supporting projects

• European language skills: particularly French or German

If you wish to learn about the role please sned your resume to ewacher@jmagill.com or call Ed Wacher on 0207 614 7695

Head of Compliance - Private Bank

1258047256

Fund/Asset Management | £70 - 80k & good benefits |

JMEWPB2

London

£70 - 80k & good benefits

Head of Compliance - Private Bank

A leading Private Bank is looking to hire a senior compliance professional to act as the Head of Compliance for the team.

The role will involve the successful incumbent holding the CF10 as well as having direct responsibility for the development of the risk based monitoring programme, reviewing regulatory papers as well as other tasks including running the compliant handling, sign off on marketing materials and managing a small team.

Candidate

- Direct experience working in a Private Banking/Wealth Management institution or team.
- Strong understanding of the FSA handbook
- Past man management experience is required
- Holding the CF10 in an earlier role is not a pre-requisite for this position.

If you wish to learn more about this role please send your resume to ewacher@jmagill.com or call Ed Wacher on 0207 614 7695.

Senior Technology Auditor (IT Auditor) - Financial Services

1258739446

Internal Auditor

1258738947

Part Qualified Auditors

1258738626

Legal and Compliance Officer

1258738077

Compliance & Regulation | C.£35,000 Bens+Bonus |

LEGAL AND COMPLIANCE OFFICER

We are recruiting for a successful UK private client investment management company which is part of a US Financial services group. The company offers a comprehensive wealth management service to independent private client investment managers.

The business seeks a bright Legal and Compliance officer to join its London office. The role will report to the Head of Legal and Compliance and will have a varied remit covering a range of regulatory and legal matters. The role will involve providing day to day legal and regulatory support to the Head of Department, working with other members of the compliance team, covering general compliance queries and reviews, drafting documents such as contracts and side letters, undertaking desk based monitoring, dealing with AML issues, T&C and involvement in branch compliance audits.

Given the legal elements to this role, a Law degree or Graduate Diploma in Law and LPC are essential qualifications. Candidates should have some experience of working in a private client investment management business or have completed a training contract within a law firm. Industry qualifications such as IMC or FPC would be advantageous but are not vital. This is a demanding role that will cover a range of regulatory and legal matters. The successful candidate will need to display good interpersonal and analytical skills as well as good commercial acumen. This would be a great role to develop knowledge and skills in compliance.

For more information on the role please contact Victoria Alkiviades on 02079368941 or to apply please email your CV and contact details to va@barclaysimpson.com.

Senior Compliance Manager

1258737911

Compliance & Regulation | To £75,000 Bonus+Bens |

SENIOR COMPLIANCE MANAGER

Our client is a successful and established UK banking organisation. It has a new requirement for a Senior Compliance Manager to join the business, focusing on consumer and commercial banking streams.

The role will be tasked with building and maintaining relationships with business unit compliance functions and ensuring that an effective system is in place for providing advice and managing and reporting risk. The job holder will support the implementation of the regulatory risk oversight and reporting strategy and provide solutions to complex issues. The role will involve investigating issues and bringing them to completion appropriately.

The role demands a confident and enthusiastic compliance professional with a background in banking and financial services. Suitable candidates will be able to demonstrate expertise in compliance programme management and understanding of a regulatory risk framework. Strong technical knowledge and an appreciation of the commercial environment are essential. At Senior Manager level, the job holder should be a self starter with strong influencing and organisational skills.

On offer is the opportunity to work in a varied and challenging environment, where you can really develop compliance knowledge and make an impact.

For more information about the role please contact Victoria Alkiviades on 0207936 8941 or to apply, email your CV and contact details to va@barclaysimpson.com.

Senior Manager Fraud Policy

1258737710

Money Laundering | £Negotiable Bonus+Bens |

SENIOR MANAGER - FRAUD POLICY

This leading UK consumer bank has a new opportunity for a fraud professional to join its team at Senior Manager level. This is a varied and challenging role which will see the successful candidate driving forward policies for intermediate fraud and reducing risk.

The role will interact with colleagues across the banking group, delivering fraud policy effectively and innovatively. The job holder will assimilate considerable quantities of information, make decisions and challenge any issues arising. The role involves writing reports, producing suitable policy ideas and making recommendations for improvements within a consumer banking environment.

The right person for this role will be able to demonstrate strong leadership and influencing skills. As a Senior Manager, the incumbent will be expected to be proactive, organised and highly articulate. A strong retail banking background is ideal as are: a sound understanding of the legal and regulatory requirements concerning financial crime and knowledge of the market and its trends.

If you enjoy working in a stimulating work environment where you can make a positive impact on intermediate fraud issues this role presents a fantastic opportunity. The organisation has a strong and well founded reputation and offers significant rewards to the selected candidate.

For more information please contact Victoria Alkiviades on 02079368941 or to apply, email your CV and contact details to va@barclaysimpson.com as soon as possible.

Financial Crime Prevention Manager

1258736684

Money Laundering | To £60,000 Bonus+Bens |

FINANCIAL CRIME PREVENTION OFFICER

My client is an international investment bank with a new requirement in its Financial Security Team. This role will report to the MLRO and will join a dedicated team of KYC and Financial Security staff focused on ensuring suitable controls and procedures are in place to reduce the bank's exposure to financial crime.

The Financial Crime Prevention Officer will have a dual responsibilities covering KYC analysis and Financial Crime Prevention. Duties will include:

Using in depth knowledge of KYC procedures to assist in ‘high risk' client take on assessments
Writing reports and recommendations and developing KYC procedures
Undertaking KYC reviews
Transaction and account monitoring
Internal and external liaison and reporting
Using knowledge of AML, terrorist financing prevention and embargoes and sanctions to develop and write procedures

This is a very hands-on role that will enable the job holder great exposure to managing a range of AML and Financial crime issues. Candidates need to have suitable experience within another investment bank or securities house, strong knowledge of the training requirements for KYC, investigative skills and previous involvement with developing and writing policies and procedures. Strong technical knowledge around UK Money Laundering Regulations and understanding of the 3rd EU Money Laundering Directive is essential to this position.

For more information please contact Victoria Alkiviades on 0207 936 2601 or to apply email your CV to va@barclaysimpson.com

Compliance Administrator

1258736060

Compliance & Regulation | To £35,000 Bens and Bonus |

Compliance Administrator

My client is a highly successful international asset management business with a new requirement for a Compliance Administrator.

The role will report to the Compliance Officer and will have a crucial role to play in the smooth day to day running of the Compliance Department. The role will include:

- maintaining compliance records and registers to a high standard for example PA Dealing, Gifts and Outside Interests,

- providing reliable and efficient administrative support to the Compliance Department,

- assisting with general compliance procedures when required,

- collating MI and distributing reports

- general administrative tasks such as filing and photocopying

Preferred candidates will have some relevant experience in compliance from an investment bank or hedge fund. They should be articulate, able to work effectively in a fast paced environment and be proactive.

The successful candidate will enjoy being part of an inclusive compliance team in a dynamic work environment.

For more information about the role please contact Victoria Alkiviades on 0207 936 2601 or to apply email your CV to va@barclaysimpson.com

Compliance Analyst

1258735602

Compliance & Regulation | C.£45,000 Bonus and Bens |

COMPLIANCE ANALYST

This leading international hedge fund has a new requirement for a Compliance Analyst. The role will join a dedicated compliance team in its dynamic London office.

The Compliance Analyst role will involve managing the compliance monitoring program to detect, and escalate trade anomalies and any other non-compliant behaviour. The monitoring programme covers Trade monitoring, Blotter monitoring, Bloomberg and call monitoring. The job holder will be responsible for collating data and producing reports for the business and assisting with thematic projects.

Suitable candidates will have a background in compliance with an investment bank or hedge fund and good compliance knowledge focused on monitoring. This is an excellent opportunity to work with a highly successful business where excellence is well rewarded.

For more information on this role or to apply please contact Victoria Alkiviades on0207 9362601 or send your Cv to va@barclaysimpson.com.

Compliance Monitoring Manager

1258735466

Compliance & RegulationSecurities & Wholesale BankingInvestment Banking/StockbrokingCommodities/Futures | 50k - 70k Annually + benefits |

THE COMPANY:

Our client is a medium sized Investment Bank offering a range of services. They are looking for a Complaince Monitoring Manager to join their growing team. Working within a small team this is a great opportunity to make this role your own

THE RESPONSIBILITIES:

The primary purpose of the role is to further develop the existing risk based monitoring program to cover both existing and new businesses.
Ability to interpret trade data and scope appropriate exception reports, to enable the efficient monitoring of trading activity to check for compliance with conduct of business requirements (e.g. best execution, suitability, short sales, dealing ahead of clients), as well as market integrity issues (high/low closing, manipulative and deceptive methods of trading).
The further development and maintenance of a detailed Compliance Monitoring programme, including real time sampling of trading to monitor trade integrity/market abuse issues.
Regular sampling of trade data for cob and AML monitoring purposes.
Other periodic monitoring as set out in the existing program;
Assisting in preparation, execution and follow up of regulatory reviews, inspections and audits
Assisting in maintenance of regulatory projects such as Legislative Compliance Management (database of applicable regulations)
Keeping knowledge of FSA and other applicable regulations current and up to date
Providing cover for Control Room duties when required

EXPERIENCE REQUIRED:

Good knowledge of the FSA handbook, particularly Conduct of Business rules;
Good knowledge of the Market Abuse regime and Code of Market Conduct;
Good knowledge of equity and debt trading products and FX based products
General knowledge of Equity and Debt capital products.
Preferably educated to degree level;
Relevant experience gained within investment banking, broking, stockbroking

For further information please contact Hannah Tabatabai

Compl3614

Desk Review Compliance Officer (AVP-VP)

1258731062

Investment Banking/Stockbroking | £45,000 - £75,000 |

My client are one of the world's leading financial institutions and due to various developments within the organisation are in search of an experienced Compliance professional to join their Desk Review Compliance team.

This team within the business specifically tests the supervisory, administrative and operational controls associated with policies/procedures and independently assesses and reports on areas of potential reputational or regulatory risks.

The Role

Performing a risk assessment for the business to prioritise areas for review

Leading reviews including:

Validating compliance with established policies and procedures
Validating compliance with applicable regulatory and exchange requirements
Developing recommendations for corrective action based on findings
Working with line of business compliance officers to agree action plans
Following-up on action plans to verify that corrective action has been effectively implemented
Meeting global internal standards for delivering high quality value added compliance risk reviews
Maintaining a broad knowledge of the firm's business and the regulatory framework in which it operates
Developing relationships with line of business Compliance Officers to keep abreast of current business developments and regulatory issues that impact the risk environment of the business

What we are looking for

Broker dealer or Investment banking regulatory Compliance experience
Expert knowledge of UK and European regulatory rules and regulations including FSA and MiFID
A good understanding of core business lines and products including equities, fixed income, commodities and corporate finance experience
The candidate will also have the ability to represent Compliance, enforcing a culture of compliance whilst considering the needs of the business. You will be motivated, energetic, organised, articulate, willing to take responsibility, possess good analytical skills and be comfortable with both written and verbal communication at all levels.

Monitoring Officer (Employee Benefits)

1258728538

Insurance & RetailLife & Pensions | 45k - 48k Annually |

Company Overview:

Well known Actuarial and Employee Benefits Consulting firm are seeking to recruit an additional Compliance Monitoring Officer to their Regulatory Risk team. Candidates must have a strong defined benefits pensions experience with CORPORATE experience

Key Responsibilities:

The team are responsible for delivery of the annual Risk Oversight Plan and as a senior member of the team you will ensure the monitoring programme meets defined methodology and procedures.
Carry out thematic reviews and audit visits to branch locations in the UK
Assist in creating and maintaining corporate business quality assurance procedures
Establish early warning indicators for identifying future potential risks to the Corporate Consulting business model.
Support the Head of Risk in providing strategic direction for the Business.
Proactively assist the Head of Risk in identifying areas for improvement to the Risk framework, procedures and controls
Prepare Risk Oversight Reports, including proposals for appropriate remedial work.
Review complex employee benefit business activity/service propositions and determine whether the appropriate governance systems are in place to meet associated risk.
Develop effective working partnerships with Heads of Practice, Senior Management and internal teams such as Technical, Research, Product Development, Marketing and Technology).
Cultivate a culture of compliance and risk awareness, focusing on the principles of Treating Customers Fairly.

Skills & Experience

The ideal candidate will have previous compliance experience in the Employee Benefits Sector with a strong understanding of risk-based internal audit/compliance monitoring techniques. An broad understanding of the Pensions Advisory Service, Department of Work & Pensions, HMRC, Trustee legislation, Data Protection and Financial Crime rules would be desirable. Corporate experience is also highly desirable. Suitable candidates should email their CV to danwise@jarvisblake.com or call 01322 611771 to find out more

Financial Promotions Compliance

1258728468

Deputy Compliance Officer

1258726277