AJB SEARCH

Responsibility

• produce presentational material and commentary to support client servicing

Requirements

• relevant experience in identifying, selecting and managing allocations to third party investment managers/funds across traditional asset classes and alternative strategies
• relevant experience in managing portfolios of 3rd party funds
• relevant undergraduate and post graduate qualifications
  Show more +12
• relevant FCA regulatory and RDR qualifications to allow role to carry out RDR activities
• appropriate IT skills and systems experience
• excellent communication skills including an ability to explain complex data and information in a clear and concise manner
• ability to produce highly technical and detailed information ensuring recipients understand the information provided
• excellent quantitative and qualitative analytical research skills
• ability to change focus quickly to meet changing demands and to transition from task to task effectively
• makes decisions based on a clear understanding of issues, relevant views and opinions, and an objective analysis of facts
• strong attention to detail and awareness of risk issues
• strong interpersonal skills - good at building positive and constructive relationships
• self-motivated to achieve goals to improve own and company performance
• committed to delivery, proactive and hardworking
• ability to work under pressure to tight deadlines

Earnings for position investment analyst

Responsibility

• manage and keeping the complaints register up to date, tracking for resolution of all issues raised and escalating as necessary
• conduct or assist with departmental training on AML, CDD, Bribery and CTF related issues
• review of all Customer onboarding, Customer Transaction and Lending activities to ensure these are carried out in line with the Bank’s Approved Processes and Regulatory Requirements
  Show more +2
• conducting periodic review and drafting of the departments Policies and Procedures and ensuring its alignment with relevant regulatory requirements and the department
• any other work and supporting role allocated by the Head, Personal & Business Banking and Head, Corporate Banking

Requirements

• commercial Banking background focusing on international Corporate and Personal Banking customers is essential
• strong knowledge and understanding of UK Banking Regulatory Requirements, Risk & Compliance and Corporate Governance
• ability to research regulations and produce gap analysis and management summary reports
  Show more +3
• complaint management and handling in line with DISP requirements
• familiarity with retail banking rules, regulations and requirements
• familiarity with UK mortgage products and their respective guiding regulatory requirements

Responsibility

• oversight of AML SYSC and financial crime generally
• to oversee and evolve the firms SYSC which enable it to identify, assess, monitor and manage its money laundering risk
• general Compliance monitoring and updating the compliance monitoring program
  Show more +8
• management of client reviews, approvals, classifications, and documentation
• management of the internal client database
• to create, receive and assess suspicious transaction reports
• carry out regular assessments of the adequacy of firm’s SYSC and make, on an annual basis, a report to senior management on the operation and effectiveness of the firms controls in managing the money laundering risk
• to give general guidance and advice on the obligation of the firm and its staff to counter money laundering, financial crime and terrorist financing
• interpretation of FCA and other regulators’, Government agencies and exchange rules to ensure that the firm is taking appropriate measures to ensure that money laundering risk is taken into account in all aspects of its day-to-day operations including in the development of new products, the taking-on of new customers and the changes in the firm’s business strategy and profile
• financial crime documentation control/management
• other general compliance administration duties

Requirements

• preferably a minimum of 3 years financial services experience
• strong written / communication skills, ability to influence, lead, engage, and manage stakeholders
• ability to lead complex reviews and be a team player
  Show more +5
• demonstrable experience in the delivery of financial service internal audit reviews, and reporting to Audit Committees and/or regulatory assurance reviews
• understanding of risk management and internal controls
• strong analytical and problem-solving skills, with the ability to present information in a clear and concise manner
• sound technical knowledge of financial products and / or customer-facing regulated activities
• functional knowledge of the UK regulatory environment with deeper knowledge of some Financial Services sub sectors and the risks that they face

Responsibility

• our client is a rapidly growing business that is re-defining how individuals and families connect and engage with their financial life
• they their clients with control over their personal finances, enhancing their ability to achieve their personal and financial aspirations
• our approach combines the best of human judgement and advice with sophisticated, data driven portfolio analytics and cutting-edge digital user-experience for both clients and advisers
  Show more +5
• they are seeking an exceptional senior risk and compliance officer to join the risk and compliance function and build out the risk and compliance framework to match the world class financial advice and technology functions already in the business
• as a fast-growing company, there is considerable scope for the successful candidate to grow with the business, assume greater levels of responsibility and progress rapidly
• the Risk & Compliance function is pivotal in creating a world class, scalable organisation, that requires the development and implement of a modern risk and compliance framework
• advice to the business on key situational and transactional matters
• A targeted compliance monitoring programme which evaluates and reports to senior management key findings gives assurance for to compliance

Requirements

• A Minimum of 4 years’ experience in retail financial services compliance