Dieses Jobangebot ist archiviert und steht nicht mehr zur Verfügung.
Vakante Jobangebote finden Sie unter Projekte.

Compliance SME - Financial Services

Eingestellt von Alexander Ash Consulting Ltd

Gesuchte Skills: Client, Marketing, Network

Projektbeschreibung

"Alexander Ash is acting as an agency for the purpose of this advert.

For this Investment Banking giant we are looking for a Compliance SME. The role requires the provision of advice and guidance to all levels of the Wealth Management business concerning rules, regulations and internal policies
- Maintain current expertise in the regulatory environment and key developments, and advise the WM businesses and Compliance colleagues globally on UK and European regulatory matters in relation to investment and banking matters.
- Advise Compliance and business colleagues based overseas on cross border activities in to the UK, as well as advise UK based business colleagues on appropriate cross border rules if travelling overseas
- Assist in representing Compliance in the New Product Approval Process at UK and Global levels, which includes reviewing new products and business initiatives launched in the bank for WM use;
- Advise on all Training
- Approve WM specific marketing material and client communications to ensure compliance with UK and European regulatory requirements and for compliance, and the bank's policies and standards for communications and marketing material.
- Evaluate and advise upon one-off and unusual transactions to protect the bank against money laundering and avoid the facilitation of client tax evasion, and to mitigate other legal, regulatory and reputational risks.
- Ensure that any sensitive issue is escalated to the appropriate channels (eg Reputational Risk Committee, Global Compliance) with sound analysis and recommendations.
- Design and perform Compliance Monitoring/Surveillance Controls for the WM UK Retail Banking business.
- Provide training to the WM businesses on compliance, regulatory and reputational risks related to products, cross-border activities, trading and client services and other subjects relevant to compliance risk management within the Retail Bank.
- Representing Head of Compliance on governance fora as required;
- Contribute to the development and build know-how within UK WM Compliance team;
- Work effectively in a global team network and engage colleagues throughout the enterprise in Compliance, other units of the Risk division and the Business to facilitate execution of goals, exchange of best practices and to maintain insight to the product pipeline and business trends in the bank.
- Take on further responsibilities depending on personal job development and the evolution and needs of the WM Compliance Department;
- Develop effective partnerships with WM Business Heads, Legal, AML Compliance,COOand Risk colleagues

Projektdetails

  • Vertragsart:

    Contract

  • Berufserfahrung:

    Keine Angabe

Geforderte Qualifikationen

Alexander Ash Consulting Ltd