Situations Recruitment » Compliance & Risk

Compliance Officer

Linda Marsh — Fri, 18 May 2012 16:30:54 +0000

A Banking Group is seeking a candidate, who is able to produce high quality work under demanding circumstances and preferably holds an AIC (regulation part) or similar qualification, with experience in a compliance environment (preferably trusts, funds and investments).

The roleholder will work with the Senior Compliance Officer. Responsibilities will include the following areas:

compliance monitoring including AML
regulatory and group reporting requirements
relationship development with client RMs and other staff
compliance registers
risk rating and KYC profiling
investment activity monitoring etc.

Compliance Manager

Linda Marsh — Thu, 17 May 2012 15:00:09 +0000

A prestigious financial services company is seeking an individual educated to degree level with relevant professional qualifications at Diploma level in compliance/banking/insurance/investment and experience in compliance management, typically in insurance, financial services or private banking.

The main areas of accountability are to:

work with the Head of Compliance to support plans
keep abreast of regulatory changes in multiple jurisdictions and monitor risk
provide counsel on technical issues, marketing documentation etc.
liaise with jurisdictional and regulatory authorities, professional institutions etc.

We have a detailed job description for this interesting role.

CDD Officer

Linda Marsh — Thu, 17 May 2012 14:07:39 +0000

Our client, a financial services company, has a vacancy for a CDD Officer for a fixed term contract of approximately 6 months. The role will entail reviewing CDD and EDD documentation for accounts deemed to be high risk ensuring all internal and regulatory requirements for CDD and EDD documentation are met.

This will suit applicants with 2-3 years’ experience in a similar role. Good CDD and EDD experience is required with a very good understanding of regulatory procedures and the GFSC handbook. Computer systems knowledge is required in Microsoft Excel, Word and Outlook. Training will be given on in-house computer systems.

Senior Compliance Manager – Private Fiduciary

Linda Marsh — Tue, 15 May 2012 16:55:46 +0000

Our client is seeking someone with compliance experience, an ICA diploma or equivalent and a background in private fiduciary to act as Compliance Officer and Deputy MLRO to the company’s fiduciary licensees.

Duties will include:

preparing reports to boards and committees
undertaking compliance monitoring of regulatory requirements
Advising, training and developing staff on regulatory requirements and how to avoid breaches.

Custodian Trustee Operations Specialist

Linda Marsh — Tue, 15 May 2012 16:55:15 +0000

The successful candidate for this role within a prestigious financial services organisation will:

assist with the take-on, restructuring and exit of funds
be responsible for customer due diligence
conduct initial review of revised fund documentation
collate data and prepare internal documentation and checklists

Candidates should have experience in a relevant compliance or controls role and also in new business take-on in a fund administration or custodian trustee environment.

A contract is offered from July to December 2012.

Risk Analyst

Linda Marsh — Tue, 15 May 2012 14:35:58 +0000

A well-established global insurance and financial products company is seeking a Risk Analyst reporting to its Head of Risk.

The role will involve:

providing analysis of all existing and emerging risks
providing advice, co-ordination and challenge to the business
working with the existing risk team to analyse and problem-solve
supporting the Solvency II implementation.

The successful candidate will ideally have a a good understanding of issues faced within insurance and a strong risk analyst background within insurance or financial services sector. Experience of Solvency II would be beneficial.

Customer Due Diligence Executive

Linda Marsh — Tue, 15 May 2012 13:56:41 +0000

A global bank is seeking someone with experience in customer due diligence procedures with an awareness of financial crime policy and procedures, ideally having worked in a trust/fund environment with solid corporate banking experience. A good record of academic achievement is also required.

The roleholder will be the primary contact for all new account enquiries and will be responsible for processing new accounts for trusts and companies. He/she will work in close co-ordination with the operations departments and group account opening teams and interact with relationship managers and account executives to manage the client expectations with all account opening procedures.

We have a detailed job description. Contact us for details.

Compliance Associate

Melissa Campbell — Thu, 10 May 2012 14:57:36 +0000

This fund specialist is seeking a Compliance Associate with several years’ compliance experience ideally gained in the fund industry. Details to follow.

Transaction Manager – Assistant Vice President

Linda Marsh — Tue, 01 May 2012 13:40:02 +0000

A prestigious banking group is seeking a candidate with a professional legal qualification (or equivalent), at least 3-5 years’ pqe, a high degree of commercial awareness, exposure to funds and/or structured finance transactions and a willingness to develop local business.

The roleholder will undertake the on-boarding of new business, develop new relationships, assist with legal and regulatory requirements and act as a director of the group and client companies as required.

We have a detailed job description for this challenging senior role.

Compliance Officer & MLCO for Client Entities – Jersey

Linda Marsh — Thu, 29 Mar 2012 14:57:36 +0000

A Jersey banking group has a vacancy for an individual to act as Compliance Officer for client fund entitites ensuring they adhere to all compliance related matters and reporting to the relevant board of directors on a quarterly/semi-annually basis.

The jobholder will liaise with Compliance and risk teams to keep up-to-date with current compliance issues.