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UK Regulatory Reporting Associate
UK Regulatory Reporting Associate
new market leading investment bank
This city based tier one Investment Bank is looking to hire a UK Regulatory Reporting Associate for their London-based compliance team.
The principle duties of this role will be; to prepare the statistical Bank of England returns (monthly, quarterly and annually) and the quarterly Fed Reporting returns; to carry out some FSA compliance reporting; to enhance the process and stream line; and to act as the BOE Cash Ratio Deposits Co-ordinator.
The candidate would ideally have knowledge of BOE reporting and regulatory reporting, general accounting experience, and a background in an Investment Banking environment, or equivalent. You should have strong analytical and communication skills, and excellent team working skills.
This role is ideal for someone who is flexible, and has the ability to work under pressure. It holds brilliant prospects for you to develop your career and become a key team member within a globally recognised Investment Bank.
KYC Officer
KYC Officer
An excellent temporary opportunity has arisen for an experienced KYC (Know Your Customer) Officer to work for a top tier European investment bank. You will be responsible for collating all documentation required to remediate client files to current regulatory standards.
Role/Responsibilities
• Undertaking all research necessary to satisfy Know Your Customer due diligence in line with the Bank's policies and procedures and in accordance with agreed target dates
• Identification and production of information required to satisfy the Bank's KYC due diligence policies and processes
• Highlight issues to enable a request for outstanding information and documentation to be sent to the relevant party
• Maintenance of logs to ensure accurate and up to date reporting on work in progress
• Creation of client files in logical order fit for sign off.
Skills
• Experience in undertaking KYC due diligence in line with the European III Directive at a UK regulated financial institution
• Ability to organise and prioritise workloads
• Ability to research, assimilate and analyse information
• Detailed knowledge of Anti-Money Laundering Regulations
• Knowledge of corporate structures
• Strong Systems and processes - MIDAS and EFT, Word/Excel, Access Database Skills, Interrogation of third party databases
• Confidence to interact with staff at all levels
• Self supporting and motivated to attain high standards.
To apply for this role you will need to possess the relevant experience as listed above and have excellent interpersonal skills. This is an exciting opportunity to join a top tier European investment bank in a growing team which offers excellent career progression.
To apply for this role you must be eligible to work within the United Kingdom.
Compliance Manager
Compliance Manager
new market leading investment bank
This leading Corporate Bank is looking to hire Compliance Manager for
their London-based team.
The principle duties of this role will be; to deliver the compliance
mandate, and to work with businesses to ensure agreed regulatory compliance
values are to be put into practice; to organise the compliance team, and to
create short and medium term priorities for them; to ensure regulatory risks
for the business are clearly identified, and to develop appropriate policies
and procedures to ensure compliance; to liaise with the compliance monitoring
staff, and review monitoring outputs and
activities.
The ideal candidate will have a thorough understanding of risk,
monitoring and regulatory compliance, as well as experience of managing a team,
or equivalent. They should have strong
analytical skills, excellent influencing skills, and the ability to provide
advice.
This
role is the perfect opportunity for someone who can demonstrate their ability
to influence and coach a team, and who is looking for a leadership based
position. It is a great chance to become
involved in a recognised Corporate Bank, as well as develop your career.
Compliance Review Analyst - London
Compliance Review Analyst - London
An excellent opportunity has arisen for an experienced Compliance Review Analyst to join a well respected European investment bank. You will be responsible for assisting in establishing and maintaining a risk-based Compliance Programme covering the Business in accordance with regulatory and exchange requirements.
Responsibilities will include
• Plan and conduct desk based reviews as per the risk assessment and monitoring plan
• Preparation of written Desk Review Reports for submission to the Head of the business and Compliance teams
• Liaison with Compliance Officers and Business Lines on monitoring related issues.
• Providing assistance to the Head of the Monitoring Unit as required
• Decisions may be taken on compliance related issues without reference to the Head of Monitoring where the Monitoring Analyst considers they have the necessary expertise
Skills and experience
• Relevant monitoring experience in an investment house or securities house
• Educated to degree level (or equivalent) in a legal discipline
• Experience of cash equities and equity derivatives products
• Good knowledge of FSA Rules
• Knowledge and experience of Exchange Rules would be advantageous
• Having the confidence and competence to deal with the firm's senior management
• Excellent attention to detail
To apply for this role you will need to possess the relevant experience as listed above and have excellent communication skills. This is an exciting opportunity to join a well respected European investment bank in a growing team which offers excellent career progression.
To apply for this role you must be eligible to work within the UK.
Compliance Officer – Monitoring and Surveillance
Compliance Officer – Monitoring and Surveillance
An excellent opportunity has arisen for a Compliance Officer with Monitoring and Surveillance experience to join a top tier investment bank. You will be responsible for the daily monitoring of Equity Proprietary trading against the Global Restricted Trading List.
Responsibilities will include
• Monitoring of Fixed Income, Credit Derivatives, Equity and Futures monitoring for any proprietary trading against the firms traded securities
• Investigating Market Abuse scenarios across various product securities
• Conducting Compliance investigations where required including trading systems interrogation and electronic medium data retrievals (Bloomberg, Email, Chat and internal communication for the business
• Providing appropriate periodic compliance MI and trend analysis
• Providing support to trade surveillance initiatives where required
• Provide assistance and support to fellow internal colleagues as required
Skills and experience
• Excellent knowledge of Market Abuse Directive
• Have a holistic understanding of the regulatory risks faced by large integrated investment banks with public side and private side businesses
• Strong fixed income and equity product knowledge
• Trade Surveillance systems experience essential and implementation experience an advantage
• Good compliance knowledge of UK Compliance regulations
• Educated to degree level (or equivalent) in a legal discipline
To apply for this role you will need to possess the relevant experience as listed above and have excellent communication skills. This is an exciting opportunity to join a top tier investment bank in a growing team which offers excellent career progression.
To apply for this role you must be eligible to work within the UK.
Senior Associate
Senior Associate
new market leading investment bank
This globally renowned Investment Bank is looking to hire a Senior Associate for their London-based Compliance team.
The principle duties of this role will be to be responsible for; the management and administration of arising Conflicts of Interest; the creation and maintenance of Information Walls; undertaking surveillance activity; to provide guidance to business areas on arising compliance issues; and to review transactional information received. The associate will also be expected to liaise with staff at all levels in order to contribute to the development of staff knowledge through training, informal discussions and explanations of any conflicts issues.
The candidate would ideally have a working knowledge of a bank’s activities and operations, and an understanding of UK and EU regulations, or equivalent. They should have strong communication skills and excellent interpersonal skills.
This role will offer the right person a brilliant opportunity to develop their career and become a key team member within a globally renowned Investment Bank.
Client Opening Manager
Client Opening Manager
new market leading investment bank
This Global Corporate Bank is looking to hire a Client Opening Manager for their London-based compliance team.
The key responsibilities of this role will be; to manage the account opening team and to provide them with relevant information; to liaise with the Compliance department, to ensure all accounts are reviewed by Credit prior to set up, to submit approved accounts and to maintain accurate records or all opened accounts; to assist Credit when required.
The candidate will ideally have experience of managing a team, as well as a background within Financial Services. Likewise, a thorough understanding of regulatory legislations, AML and Account Opening, or equivalent, is required. You should have excellent communication skills and show a willingness to learn.
This role will offer the right person the opportunity to develop their career and become a key team member within a globally recognised Corporate Bank.
Project Manager, AML Intelligence Database
Project Manager, AML Intelligence Database
new market leading investment bank
This globally renowned Investment Bank is
looking to hire a project manager for their London-based compliance team.
The purpose of this role will be; to project
manage the AML Intelligence Database; to understand, and be a subject matter
expert on the risks that the AML Intelligence Database are handling – to review
it and ensure that the system is being used effectively; to globally implement
the database; and to set up and manage an offshore support hub for AML Intelligence
Database.
The candidate should ideally have strong
leadership skills, proven experience of project management, and excellent
communication skills. You should also
have an understanding of the regulatory environment.
This role is ideally suited to someone who is
looking for more responsibility in their position. It is a great opportunity to develop your
career and become a key team member within a globally recognised Investment
Bank.
Assistant Compliance Manager, Anti Money Laundering - London
Assistant Compliance Manager, Anti Money Laundering - London
An excellent opportunity has arisen for an experienced Anti Money Laundering Assistant Compliance Manager to join a well respected investment bank. You will be responsible for assisting management to comply with the requirements of UK anti-money laundering (AML) regime and the Group's money laundering deterrence policies and procedures.
Responsibilities
• Conduct annual higher risk client KYC reviews.
• Conduct annual special category client reviews.
• Compliance case management of certain AMLID closed and demised and declined accounts.
• Compliance case management of certain AMLID new and existing entries.
• AML queries in team mail box as requested in relation to KYC and AMLID.
• Monitoring AMLID MI from COBAM and escalations.
• AMLID maintenance updates as requested by COBAM and subsequent compliance case management review.
• Escalate, where necessary to direct line management and Senior Compliance managers.
• Proactively alert business of highest perceived risks as they arise.
• Maintain internal control standards, including timely implementation of internal and external audit points together with any issues raised by external regulators.
Skills
• Provide highly professional, competent and skilled service to the Businesses.
• Take decisions based on your knowledge and experience.
• Think proactively and come up with ideas for enhancements.
• Good understanding of the relevant FSA rules and all other relevant legislation and guidance, particularly in relation to the activities of the business lines supported.
• Recognised professional compliance qualification or equivalent.
• AML, Anti Terrorist Financing and Sanctions experience.
• Good understanding of retail and commercial banking, insurance and investment businesses in particular those who specialise in retail and professional clients.
• Proven analytical skills, together with the ability to support decisions with sound commercial reasoning.
• Proven ability to clearly articulate business and regulatory implications of analysis and findings both to compliance colleagues and business heads.
• Strong interpersonal skills with the ability to communicate effectively at all levels.
• Ability to work under pressure and within tight time-lines.
To apply for this role you will need to possess the relevant experience as listed above and have excellent verbal and written communication skills. This is an exciting opportunity to join a top tier investment bank in a growing team which offers excellent career progression.
To apply for this role you must be eligible to work within the U.K
Compliance Manager - London
Compliance Manager - London
An excellent opportunity has arisen for an experienced Compliance Manager to join a top tier investment bank. You will be responsible for providing front line compliance advisory support across the business including both onshore and offshore banking, investment and corporate banking solutions.
Responsibilities
• Ensuring resolution of all compliance advisory issues across the relevant jurisdictions, in conjunction with other compliance colleagues.
• Provide a consistent approach to compliance issues across all the relevant jurisdictions.
• Review and ensure that controls within the business are fit for purpose and address current and future regulatory requirements.
• Ensure that the businesses maintain an appropriate level of compliance with existing and future policies.
• Participation in all major regulatory projects that have a business impact, ensuring that changes are appropriately landed in the business.
• Ensure effective implementation of all new compliance policies.
• Ensure that an appropriate level of compliance monitoring is undertaken in respect of the core risks of the business
• Carry out ad hoc risk based reviews and assist the Monitoring Team with reviews and helping the business to devise and close out on corrective action plans.
• Production of timely and effective management reporting to the business stakeholders and compliance management.
• Represent the compliance team and the Head of at key governance forums (risk committees).
Skills
• The suitable candidate will have relevant experience in a UK or International Private Banking institution with wide ranging front office experience.
• An excellent understanding of UK regulatory requirements (COBs, conflicts on interest, PA Dealing, best execution etc).
• Strong understanding of global regulatory environments.
• In-depth knowledge of financial products (both banking and investment), sales and relationship management and key operational processes relating to a sales channel.
• Must be able to demonstrate an understanding of the need to balance commercial and regulatory risk.
• Be able to demonstrate strong conflict management and influencing skills and the ability to progress controversial issues with pragmatic workable solutions.
• Background in financial services regulation is essential.
• Educated to degree level (or equivalent) and a first class general academic track record.
• The role holder will be a strong leader who will continually strive to improve personal development, and development of colleagues.
• Strong understanding of UK, EU and International regulatory environments as day to day queries will include a wide range of topics including conduct of business rules, conflicts management and cross border sales.
To apply for this role you will need to possess the relevant experience as listed above and have excellent communication skills. This is an exciting opportunity to join a top tier investment bank in a growing team which offers excellent career progression.
To apply for this role you must be eligible to work within the UK.