Complinet | Recruitment | Job List

Compliance Associate

1267784875

Compliance & Regulation | £25,000 |

Solving problems, building relationships and treating customers fairly at all times. That's exactly what we do at AXA Assistance, a business that provides an international network of value-added assistance and services for corporate and individual clients. But look behind our growing success and you will also discover one of the most demanding compliance operations in the insurance industry - and you could now influence our performance as part of our head office team in Redhill. It's all about solving problems and building strong relationships - and that takes talented professionals who care as much as we do about treating our customers fairly.

You will provide regulatory experience and expertise in developing and maintaining a compliance culture throughout the business. This will involve maintaining appropriate controls and meeting the requirements of the FSA's rules in the UK and the Financial Regulator's rules in the Republic of Ireland.

So what does that mean in practice? Well, at the operational level we will rely on you to produce timely reports, identify and respond to compliance gaps, and undertake reviews of all financial promotions documentation. But this role also has a broader strategic dimension. In addition to submitting regulatory returns and other data to the regulators, you will actively review and assess risk across the business, identify ways of improving our control framework and monitor the implantation of action plans. You will also stay up to date with the latest changes in regulatory and legal requirements that impact the business - and take responsibility for your own professional development in the field.

Ideally, you will already have gained some compliance experience within the insurance business, you be supported by a sound understanding of current regulatory requirements and the credibility and communication skills to influence people at all levels within the business as well as in client companies. Good organisational, analytical and time management skills are essential. Add to that an eye for detail and a willingness to travel within the UK as required, and you will quickly make your mark as part of our team.

As you would expect, the rewards and prospects are everything you would expect from a market leading company. Interested? Then please visit our people pages on
www.axa-assistance.co.uk. Alternatively please send your full CV with a covering letter to: recruitment@axa-assistance.co.uk or by post to: HR Department, AXA Assistance UK, 106-118 Station Road, Redhill, Surrey RH1 1PR.

Business Regulatory Co-Ordinator

1268331833

Compliance & Regulation | Circa £35,000 |

About us:

As one of the largest insurers and financial services companies in the world, Allianz represents an incredibly stable working environment. Through our careful management of risk, Allianz has carved a name in the market for stability and security. In fact, we're very proud to say that whilst others around us have felt the repercussions of the economic climate, Allianz has remained in growth. Our hugely diverse portfolio and world-class reputation affords us the ability to withstand the current climate and stay one step ahead of the market. We're dedicated to keeping our 75 million customers happy - and of course, our talented workforce by providing them with unwavering support and the best training around.

The Business Insurance Centre (BIC) opened on 2nd November 2009 as a new commercial insurance venture, with a new team and unrivalled opportunities for training and development, both on the job and as part of our industry renowned underwriting academy.

About the role:

You will be the central compliance focal point within the branch and will provide strategic direction and guidance across the BIC in respect of all FSA requirements (and other legislation).

You will be responsible for monitoring local adherence to all regulatory requirements and take prompt actions to mitigate any issues or risks arising. Your main role will be as the link between the branch, the local management team and the Guildford Head Office Business Regulation Manager in respect of the management of regulation and any issues arising.

About you:

You will have experience of and the ability to think strategically, be self motivated and the drive to achieve with the confidence and ability to influence and mobilise others. We're looking for people with a cheerful disposition, be customer focused with highly developed organisational and planning skills. In addition to this, you will be a confident decision maker with the ability to be proactive and pragmatic. You will have a high level of analytical skills with attention to detail being essential. Flexibility is a must have, as occasional travel will be required.

Apply:

Job Reference Number RT0040.

Closing date: Thursday 25th March 2010

N.B we are not accepting applications via recruitment agencies

Associates/ Senior Associates – Conduct Risk Division

1267791197

Risk | £40,000 to £70,000 plus excellent benefits |

CHANGE / PROGRESSION

If your background is in life insurance, pensions or investments, you could make a big impact at the Financial Services Authority helping to protect consumers.

Our Conduct Risk Division identifies and assesses conduct risks, as well as designing and delivering mitigation and remediation programmes by carrying out thematic work and providing specialist support to firm supervisors. The work of the division has a high profile, both internally and externally.

Taking on a varied and challenging workload, you'll develop methodologies to assess specific conduct risks through a range of techniques, carry out complex assessments of consumer outcomes on behalf of firm supervisors and provide advice and quality assurance for supervisors in the use of outcomes testing toolkits developed by the division. You'll also be involved in high profile thematic projects. The role will see you influencing people at all levels internally, as well as managing external stakeholders.

We're looking for impressive analytical skills - including the ability to develop and evaluate pragmatic regulatory options - along with the confidence to engage and build relationships with stakeholders. You'll also need to able to get up to speed on new subjects quickly and be comfortable with a matrix management style of working.

In addition to the opportunity to make a real difference to retail customers, you can expect a stimulating working environment plus an excellent benefits package.

For more information and contact details visit www.fsa.gov.uk/careers and search under reference R00097.

Closing date for applications: 17th March 2010.

Internal Auditor- Banking

1268805806

Compliance Monitoring & Testing Analyst

1268805732

Compliance & Regulation | 240 - 280 Daily | My client, a leading Financial Services corporation, urgently requires a Compliance Monitoring & Testing Analyst to assist with the development of the Corporate Monitoring and Testing Program.

Tasked with the active management of monitoring and testing reviews throughout the region, the Compliance Analyst will provide an oversight to Corporate or Business Unit Risk Management and Compliance staff.

Assisting the Regional Monitoring and Testing Manager with execution of the monitoring and testing program, including plan status, targeted testing efforts for critical / high risk activities, and preparation of periodic reporting to summarise status of the program.
Responsibilities will include the planning and executing of individual reviews, identifying issues and underlying root-cause analysis. You will also develop recommended solutions and communicate findings effectively, both orally and in writing.

This role requires a highly motivated individual who has a proven record of using initiative to resolve problems, proven experience related to monitoring/testing including operational risk expertise, a detailed knowledge of FSA Handbook and the analytical ability to identify and understand problems as well as to provide effective solutions.

This position is paying an extremely competitive daily rate and interviews are immediate available.

Hays City is a trading division of Hays Specialist Recruitment Limited and acts as an employment agency for permanent recruitment and employment business for the supply of temporary workers. By applying for this job you accept the T&C's, Privacy Policy and Disclaimers which can be found at hays.co.uk

Senior Compliance Adviser

1268764482

Compliance & RegulationMortages | Up to £700 per day |

This financial services firm seek a Senior Compliance Advisor on a contract basis. The successful candidate will be tasked with providing essential support, advice and guidance on the delivery of key new business initiatives, namely the implementation of a call centre. Responsibilities will include: providing expert advice on compliance relating to call centre operations including MCOB, ICOB, AML and TCF; constructing and agreeing plan of monitoring activity; monitoring regulatory MI; providing regular reports, ensuring that the Head of Compliance is kept informed of all key risks identified and measures being taken to control risks; delivering training sessions and promoting a positive compliance culture.

To be considered for this role you must have a good background within compliance, ideally gained within the mortgages industry. You will have ideally assisted with the implementation of call centre operations or assisted with the guidance and delivery of new business initiatives. A relevant industry qualification such as FPC would be advantageous and knowledge of MCOB is a must.

If you are interested in this role please contact Natalie Brown on 020 7936 2601 or email your CV to nb@barclaysimpson.com.

Interim Risk Manager

1268764361

Compliance & RegulationFund/Asset Management | Market Rate |

A new vacancy has arisen in the regional office of this financial services firm. The requirement is for an interim Risk Manager for four months. The role will involve providing support to the risk department by undertaking a variety of duties and responsibilities including: assisting in the maintenance of existing risk management reporting processes; building effective relationships with senior management and business areas; facilitating risk assessments on complex issues to document key risk themes; developing ongoing risk management training; maintaining, developing and reporting on the operational loss event and near miss register; advising the business on all aspects of risk methodology.

To be considered for this role you must have previous experience of risk management and in particular looking at KRIs, RAG ratings and loss events. You must have demonstrable experience of liaising with senior management regarding risk management and previous experience of producing risk reports, ideally using excel.

If you would like to be considered for this role please contact Natalie Brown on 020 7936 2601 or email your CV to nb@barclaysimpson.com

North American Licences Executive

1268763360

Treasury Compliance Monitoring Manager (Trade Surveillance)

1268762141

Compliance Officer

1268760980

Compliance & RegulationFund/Asset Management | £70,000-100,000 +Bonus+Benefits |

Compliance Officer

£70,000-100,000+Bonus+Benefits

London

SH/17819

My client is a successful investments company that actively manages money across the world markets. With several billion dollars in assets under management, they have been successfully applying their disciplined, process-driven investment trading strategies since 2001.

The firm is rapidly expanding in the European markets and they are seeking an EU Compliance Officer to assist with the organization, administration and enforcement of the firm's compliance program in Europe and to lead their application processes for various EU exchange memberships. The job holder will be working with a number of teams to guide the set-up of the infrastructure needed to support their direct trading on EU exchanges. Additional responsibilities will include: monitoring, updating, and enforcing compliance policies and procedures (i.e., the Compliance Manual, investor files, brokerage arrangements and other government filings); testing and documenting these policies; monitoring European regulatory developments; and preparing for, and responding to, FSA inquiries and audits.

The ideal candidate will have experience as a compliance professional at a mid- or large-sized investment advisory firm that is registered with the FSA and will have successfully been through FSA audit(s); a solid understanding of the contents, requirements and operations of MiFID; outstanding organizational and communication skills; comfort with, and an understanding of, how to interact with government officials; and an undergraduate degree from a top university. This is an excellent opportunity to take your career to the next level and develop and build upon your existing skill set.

MLRO

1268760227

Compliance & RegulationFund/Asset ManagementMoney Laundering | Circa £100,000 +Bonus+Benefits |

MLRO

Circa £100,000+Bonus+Benefits

London

SH/18477

My client is one of the world's finest asset management firms and a premier provider of global investment management, risk management and advisory services to institutional, intermediary and individual investors around the world. With trillions under management they offer fundamental and quantitative active management approaches aimed at maximizing outperformance to highly efficient indexing strategies designed to gain broad exposure to the world's capital markets.

In line with on-going expansion, they have an exciting and challenging requirement for a Money Laundering Reporting Officer. This is a strategic role and requires someone with expert AML knowledge and a proven track record covering cross border issues, international screening/sanctions requirements and regulatory change within global jurisdictions. Responsibilities will include:

Ensuring that all AML regulatory requirements are embedded within business areas, both in-house and at the Outsourced providers.
Reviewing the implications and impact of regulatory change, formulating policy and assisting the business with implementation. Interacting with Senior Management to discuss changes and agree processes.
Provision of clear technical advice, guidance and training to colleagues on regulatory matters.
Dealing with AML queries from various business areas in-house (globally) and from outsourced providers.
Preparing and delivering bespoke AML training to relevant business areas
Preparing and presenting on ad-hoc and regular reports for governing boards and Senior Management
Forming strong relationships with key departments within the business (globally) and with outsourced providers.
Developing, implementing and providing guidance on international sanctions screening requirements within the larger organisation and to relevant business areas.
Participating in Business Lead projects to implement change that impacts AML requirements either in-house or through outsourced providers.
Advising and providing oversight to the Compliance Monitoring Team who perform the AML monitoring tasks.

Due to the relationship building nature of the role first class interpersonal skills are essential as is the ability to influence others and deliver points in a mature and confident manner. The position will suit someone with excellent in-house AML experience who is looking to take their career to the next level in a larger more complex Global firm.

Compliance Officer – Insurance - City

1268756309

Compliance & Regulation | 0 - 70k Annually + bonus + benefits |

Market leading insurer seek a Compliance Officer to manage compliance risk for all of the businesses regulated entities by managing the relationship with the regulator, the promotion of best practice, monitoring and developing procedures to monitor regulatory developments and report to senior management.

The remit of the role will include:

To monitor and advise on Domestic and International licensing arrangements and prepare and submit regulatory returns.

To develop and maintain a strong compliance culture and appropriate procedures to monitor and control compliance risk along with systems and procedures to ensure compliance with the Data Protection Act.

Provide an effective monitoring programme to ensure that all staff adhere to company policy and procedures during the execution of their duties.

Continually monitor any changes made by the FSA, Lloyds' and other applicable regulators and where these changes could affect the operation to provide such documentation or other material to appropriate colleagues to keep them informed of changes.

Understand and interpret the regulations applied by the FSA (and any other applicable regulators) in so far as they affect the company and ensure that proper systems and controls are in place.

To maintain effective relationships with regulators and third parties.

To represent compliance on internal committees.

Plan, coordinate and develops the group compliance strategy and deliver training on compliance issues.

To monitor and develop policies and procedures to monitor group exposure to Money Laundering Risk and International Sanctions and review and approve all Group Financial Promotions.

For an initial discussion call Bianca on 0207 3108781

European Compliance Officer

1268756222

Compliance & Regulation | 0 - 75k Annually + bonus + benefits |

Market leading financial services organisation seek a European Compliance Officer to manage regulatory risk for the European business operations in line with the requirements of the relevant state regulators.

The remit of the role will include to:

Establish key controls to minimise risk of regulatory failings in the business units.

Establish, review & monitor effectiveness of Compliance function controls, including Compliance Monitoring, Training and Reporting

Foster a close working relationship with key regulatory stakeholders, including the FSA.

Strategic identification of external advisors including consideration of expertise, cost effectiveness & control of instructions.

Operating proactively with the businesses in the early identification of regulatory issues & providing regulatory advice.

Ensuring that compliance policy is understood & adopted by European functions, identifying exceptions & providing or co-ordinating regulatory advice where necessary.

Reporting to the Board on regulatory matters & to the International Compliance Officer and CEO.

Fulfilling the role of an Approved Person in line with the FSA Approved Persons Regime.

Establishing & maintaining close relationships with key stakeholders and

Managing the approach to mitigating Data Protection risk and Financial Crime Risk across the European businesses.

The ideal candidate will have the ability to manage and develop a team in addition to an in-depth understanding of FSA rules including ICOBS & SYSC.

For an initial discussion call Bianca on 0207 3108781

Global Head of KYC

1268755260

Compliance & Regulation | Dependant on Experience |

My client is a leading Investment Bank with a strong global presence. Due to expansion they are seeking a Global Head of KYC to join their Compliance team in London. Key responsibilities and duties of the role are as follows;

*Define and maintain the scope and responsibilities of headcount and budgets across the global KYC / Client Identification team, along with its positioning and interaction with other parts of the global markets function and process.
*Develop, lead and motivate a service oriented global team delivering high quality and timely service within agreed budgets and service standards.
*Work with regional heads ensuring local issues and requirements are addressed.
*Effectively build, manage and integrate new teams as the global markets geographic and business line footprint expands.
*Develop strong relationships with key business and compliance stakeholders, ensuring positive and collective management of the KYC process and adherence to performance level agreements.
*Ensure regulatory and compliance requirements are fully met with regard to KYC, including meeting targets set for key risk indicators.
*Ensure effective capacity planning and continuously improve quality and efficiency across all units.
*Provide input into strategy, policy and change management projects across global markets.
*Understand and demonstrate compliance regulations and procedures that apply to the conduct of the business, specifically internal controls.
*Maintain internal control standards, including the implementation of internal and external audit points together with any issues raised by external regulators.
*Ad hoc projects as directed by the Head of Compliance.

Ideally you will be of graduate calibre and have at least seven years KYC or client support experience gained across the investment banking sector. It is also envisaged that you will have a deep understanding of operational risk and how it relates to the on-boarding process. Lastly, it is desirable that you are a good communicator and able to work under pressure with a high degree of accuracy.

Please contact Clem Cull on 0207 065 1224 for further information

Compliance Manager

1268753463

Compliance & Regulation | Competitive |

Do more. Be more. Realise Your Potential.

Willis is one of the world's leading risk management and insurance brokers. We employ approximately 20,000 Associates in 100 countries and generate revenues of over $2.3 Billion.

We contribute to our clients' competitive advantage through the identification, analysis and management of their risk. We deliver professional risk transfer, risk management, loss management and actuarial services to companies, as well as financial and employee benefits consulting.

Main Purpose of Job:

To be responsible for:

Themanagement and co-ordination of Willis Group compliance projects and initiativesacross
Willisbusiness units - primarily in theUK, but internationally whererequired.
Regulatory monitoring
Regulatory reporting
To adviseon compliance issues, as required

Attainments/experience

A candidate who has managerial experience within an insurance broking or insurance environment or who has proven experience of getting results through a team of professionals and has a commercial pragmatic approach to managing compliance within a business environment. Further, the candidate should have had at least three or more years working at a senior level in one of

Operations
Compliance
Legal
Internal Audit, or
Management/Internal Consultancy
Candidate should have had some experience of working in a regulated environment.

Duties - This list of duties is indicative only and is not definitive

To work with the business units on compliance projects and investigations. These may be as part of a business team (as the representative of Group Compliance) or on behalf of Group compliance itself.

Projects - e.g. introducing new systems/procedures, understanding the implications of new regulations, reviewing existing procedures.
Investigations - e.g. business reviews, regulatory investigations.

To oversee regulatory reporting, e.g.

RMAR
FSA ARROW and other recommendations

To manage the regulatory monitoring team. This team of four individuals, based in London and Ipswich, monitors regulatory risk across Willis Group in respect of

Anti-Bribery & Corruption
Sanctions
Gifts and Entertainment
Financial Promotions
Willis Group operational standards ("The Willis Excellence Model")
This unit also collates and coordinates regulatory metrics/MI for the board of Willis Limited

To support Group Compliance team in such areas as

the requirements of applicable legislation for the conduct of business including licences and sanctions;

the requirements of the insurance regulators in the locations where Willis operates, and other regulators where Willis provides cross border services; and
Willis internal policies and procedures.

To provide an effective and value added advisory service to Willis business units on how they should comply with all the regulations applicable to its business operations through operation of a consistent compliance standards programme.

To establish and maintain a high personal and collegiate profile with the operational senior management in Willis thereby acting as the central point of contact for advice and assistance on compliance related matters.

To support and maintain working relationships with regulators and the broking trade associations.

To train and coach team members.

To liaise and co-ordinate with the Group Compliance Director, the Deputy Group Compliance Directors, compliance network team, legal and the Group Internal Audit.

Skills and Aptitudes

Proactive rather than reactive.
Team player with good interpersonal skills.
Ability to work under pressure to tight timelines and without direct supervision.
Organised and methodical.
Excellent business analytical skills
Excellent communication skills, both verbal and in writing
Commercial awareness.
Be prepared to travel overseas.

Willis is publicly traded on the New York Stock Exchange (NYSE: WSH). Additional information on Willis may be found on its web site: www.willis.com.

You'll enjoy the personal satisfaction and professional rewards that come with helping an industry leader to drive further success, plus the immediate rewards of an excellent salary and benefits package.

Do more. Be more. Realise Your Potential.

Willis is an equal opportunity employer that welcomes applications from suitable qualified people regardless of sex, age, race, or disability.

Group Risk Claims Administrator

1268751083

Life & Pensions | 18k - 23k Yearly | The Company
Leading Employee Benefits Company

The Role
Provide a high quality claims management service to a portfolio of clients in respect of their Risk and Care Support contracts and other related benefits. Responsible for raising and issuing monthly fee invoices to clients in line with our client agreements, and for chasing and collecting payment of any outstanding debt. Provide support and advice to clients in all aspects of claims management from making a claim, to managing a claim and appealing against a declined claim if necessary. Assist the insurer in obtaining the relevant information from the client, demanding a high standard of service from all insurer. Maintain accurate and complete claims records for each scheme for each client including details of on-going case management

The Person
You will need experience of dealing with / processing group risk claims, ideally attained a business related degree and looking to progress within the Employee Benefits industry.

The Benefits
Generous Flexible Benefits Package

FRH1003-68 Group Risk Claims Administrator is only one of many vacancies we are handling. Alexander Lloyd is a specialist within Financial Services recruitment. Areas of expertise include IFA, tied advisors, employee benefits, compliance, pensions, group risk, paraplanners, sales support, T&C etc. We predominately focus on London, Surrey, Sussex and Kent, although we have also been highly successfully in offering national solutions. Due to the high amount of interest that we receive for each of our roles unfortunately we cannot respond to each application individually, therefore if you do not hear back from one of our consultants you have not been shortlisted for this role. Please continue to check our website www.alexanderlloyd.co.uk for any other roles which may be of interest.

Internal Auditor- Change/Projects

1268748686

Senior Pensions Administrator

1268747025

Life & Pensions | 20k - 30k Yearly | The Company
A leading international professional services firm specialising in Risk & Insurance and Employee Benefits

The Role
The overall purpose of the Senior Pensions Administrator role is to undertake complex administration tasks with efficiency competency and professionalism. To thoroughly check the work of their colleagues using reference documentation as required. To assist in administrator staff training and to answer administrator questions. To ensure that the Client service level agreement is met in all cases.

The Person
You will need extensive DB/DC pension administration experience, ability to complete manual calculations accurately. Work on own initiative and as part of a team. Well organised and able to deal with volume administration. Excellent communication skills and good knowledge of recent pensions legislations i.e. Pensions Act 2004/Simplification.

The Benefits
This is an excellent opportunity for the right candidate to join a friendly team within an organisation that is committed to career progression and who offer excellent staff benefits.

FRH1003-63 Senior Pensions Administrator is only one of many vacancies we are handling. Alexander Lloyd is a specialist within Financial Services recruitment. Areas of expertise include IFA, tied advisors, employee benefits, compliance, pensions, group risk, paraplanners, sales support, T&C etc. We predominately focus on London, Surrey, Sussex and Kent, although we have also been highly successfully in offering national solutions. Due to the high amount of interest that we receive for each of our roles unfortunately we cannot respond to each application individually, therefore if you do not hear back from one of our consultants you have not been shortlisted for this role. Please continue to check our website www.alexanderlloyd.co.uk for any other roles which may be of interest.

Compliance Analyst, Edinburgh

1268745865

Senior Compliance Associate - Leading Financial Services firm

1268745191

Securities & Wholesale Banking | £40k + benefits |

JMEWOOL

Buks

£40k + benefits

Senior Compliance Associate - Leading Financial Services firm

Assisting the Compliance & Legal Services Manager in the day to day running of the Department.
Specific responsibility for ensuring compliance with all aspects of relevant regulation, active involvement with, and timely completion of the routine Compliance Monitoring programme, involving periodic reviews and control tests on all areas of the business (including fund accounting and fund administration) and external fund managers.
Investigating and responding to all formal complaints from clients and, where appropriate, liaising with the Financial Ombudsman Service.
Participating in the delivery of compliance training workshops for new staff.
Maintaining and upholding the principles, rules and codes of conduct contained in the FSA Source books.
Advising and liaising with all staff in relation to compliance matters and the promotion of a compliance culture throughout the firm.
Assisting in the review of financial promotions.

Candidate:

A couple of years working within a compliance team or compliance related environment.
Good understanding of financial markets and products and FSA regulations
Understanding of FSA's COLL sourcebook and fund accounting procedures
Any relevant compliance qualifications would be beneficial but not essential.

If you wish to learn more about this role please send your resume to ewacher@jmagill.com