Corporate & Investment Bank-compliance Resume Samples
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Corporate & Investment Bank-compliance Resume Samples
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SR
S Raynor
Sabryna
Raynor
16258 Dooley Gateway
Detroit
MI
+1 (555) 723 6209
16258 Dooley Gateway
Detroit
MI
Phone
p
+1 (555) 723 6209
Experience
Experience
Chicago, IL
Corporate & Investment Bank-compliance
Chicago, IL
Considine LLC
Chicago, IL
Corporate & Investment Bank-compliance
- Coach and develop team members
- Develop recommendations to strengthen internal controls and improve operational efficiency
- Regular Liaison with relevant stakeholders in Line of business Compliance, the business, risk management and legal functions
- Providing assistance to LOB Compliance Officers in relation to other ad hoc projects and reviews as necessary
- Working closely with Internal Audit and Corporate Compliance to ensure the effectiveness of the Compliance Testing program
- Working with LOB Compliance Officers to undertake internal investigations; and
- Working with LOB Compliance Officers to respond to regulatory inquiries
Detroit, MI
Corporate & Investment Bank Compliance
Detroit, MI
Hartmann-Muller
Detroit, MI
Corporate & Investment Bank Compliance
- Build and maintain key relationships with the LOB/Regional Compliance user community and Technology in support of business process changes, technology builds and enhancements
- , communication, training, system implementation and business rollout
- Develop and maintain detailed project plans, issue/risk logs, communication plans, and and implementation
- Coordinate with Compliance & Technology partners on functional design, build, testing processes other best practices project management artefacts by partnering with Compliance and Technology partners
- Provision of advice on and interpretation of a wide range of regulatory and firm policy topics
- Assistance with implementation of new regulatory initiatives impacting the relevant products
- Assistance with the development and implementation of compliance policies
present
Houston, TX
Corporate & Investment Bank Compliance Compliance Officer
Houston, TX
Corkery Group
present
Houston, TX
Corporate & Investment Bank Compliance Compliance Officer
present
- Providing assistance to Compliance management and LOB Compliance on ad hoc projects and/or internal investigations as necessary
- Assist Compliance to provide regulatory compliance reports to management and regulators
- Assist your manager to support the maintenance of strong regulatory relationships
- Assist with the reporting compliance related matters raised to relevant committees, management and reporting lines
- Supporting special investigations into market incidents working with the relevant LOB Markets Compliance team
- Working in partnership with other members of the regional/global CIB Compliance team, and participate in regional/global CIB Compliance projects
- Monitors compliance through various means including statistical sampling. Scheduling of compliance monitoring activities in accordance with agreed compliance monitoring coverage plan. Reporting and tracking of non-compliance incidents. Capturing of information on relevant internal Group systems
Education
Education
Bachelor’s Degree in Accounting
Bachelor’s Degree in Accounting
Clark Atlanta University
Bachelor’s Degree in Accounting
Skills
Skills
- Knowledge of UK AML regulation and guidance as well as an understanding of USA PATRIOT Act, Bank Secrecy Act and/or AML regulations issued by U.S. securities and futures regulators
- Knowledge of Global Sanctions programmes with a good knowledge of OFAC and UK Treasury programmes
- Strong communicator, self organised, problem solving, analytical skills, attentive to details and able to work in team
- Excellent written and oral communication skills and research skills and an ability to produce quality results on a timely basis
- A clean record of previous Securities Controller responsibilities with financial institutions whose Federal Service for Financial Markets (FSFM) license was not revoked on the basis of regulatory failings (within the last 3 years)
- Good working knowledge of the applicable regulatory principles and rules, such as market abuse, best execution and information barriers
- Good presentation skills, articulate, able to communicate quickly and clearly at all levels
- Strong technical knowledge of the UKLA rules (Listing Rules, Prospectus Rules and DTRs), AIM and Nomad Rules, the City Code on Takeovers and Mergers, and other relevant regulations including the Market Abuse Regulation
- Strong analytical ability and attention to detail
- Strong team player with excellent relationship building skills
15 Corporate & Investment Bank-compliance resume templates
Read our complete resume writing guides
1
Corporate & Investment Bank-compliance Resume Examples & Samples
- A strong, comprehensive understanding of key broker-dealer and/or banking regulations and current regulatory developments relevant to CIB (SEC/FINRA, AML, Dodd-Frank etc.) and key Compliance priorities (including oversight of Anti-Money Laundering, managing MNPI, etc.)
- Minimum 8 years of audit or relevant business experience
- Self motivated audit professional who effectively analyses risk and proactively identifies issues
- Minimum bachelors degree; advanced degree and/or certification (CPA, JD, MBA, CAMSetc)preferred
2
VP-corporate & Investment Bank-compliance Auditor Resume Examples & Samples
- Education to degree standard is preferable, as is a relevant professional qualification. All relevant educational, business or accounting qualifications will be taken into account
- The ability to work effectively within a team
- Ability to work well individually, and in teams, share information, support colleagues and encourage participation
3
Corporate & Investment Bank Compliance Resume Examples & Samples
- Knowledge and experience of Corporate and Investment bank products, and/or hedge fund, private equities and asset management
- Knowledge and experience of regulatory requirements with regard to AML and sanctions
- In-depth understating of audit practices and methodologies, including risk assessment and a solid understanding of internal control concepts
4
Corporate & Investment Bank Compliance Resume Examples & Samples
- Minimum Bachelor’s degree. An MBA degree and/or professional certification, such as CPA is a plus
- Knowledge and experience of corporate Compliance activities across Corporate and Investment Banking businesses ideally from an audit or risk perspective would be beneficial
- Proven ability to build strong relationships with key stakeholders, desire to learn quickly, be flexible and think strategically
5
Corporate & Investment Bank-compliance Resume Examples & Samples
- Provision of Sanctions and AML advisory support to the Investor Services teams in London and across the region
- Assisting in the investigation of suspicious activity within Investor Services. Contribution to the setting of direction in global standards & processes, representing EMEA on various relevant global committees / working groups
- Support of the New Business Initiative process (NBIA) and provision of GFCC sign off for Investor Services
- Provision of regional GFCC Participation in Business Control Committees
- Provision of compliance support for audit exam and Compliance requests within Investor Services
- Provision of GFCC support to regional committees such as the Investor Services AML Oversight Committee
- Contributing to development and deployment of relevant AML training as well as the delivery of focused face to face sessions where required
- Participation in external Industry forums and assisting in the formulation of responses to notices and proposals by regulators and industry bodies
- Supporting the client on-boarding functions, acting as an escalation point for complex/problematic client on-boarding issues and instances of negative media
- Supporting the conduct of regular AML/Sanctions risk assessments within Investor Services
- Participating in due diligence visits to high risk Investor Services clients where necessary
- Knowledge of UK AML regulation and guidance as well as an understanding of USA PATRIOT Act, Bank Secrecy Act and/or AML regulations issued by U.S. securities and futures regulators
- Knowledge of Global Sanctions programmes with a good knowledge of OFAC and UK Treasury programmes
- Excellent written and oral communication skills and research skills and an ability to produce quality results on a timely basis
- Flexibility to adapt to changing priorities within both the business and GFCC management
- An interest in current affairs and the financial crime and counter terrorist
6
Corporate & Investment Bank-compliance Resume Examples & Samples
- Identification, management, and resolution of issues regarding potential Restricted List violations
- Review of daily Information Barriers surveillance reports generated by the Surveillance System to determine items which require further investigation and conducting the investigation to bring to resolution
- Interface with the Line of Business Compliance as well as various areas within compliance
- Provide proactive education on compliance/ surveillance activities. Develop new filters for the Surveillance System as required
- Research and resolve business data quality problems identified utilizing the Surveillance System output
7
Corporate & Investment Bank-compliance Resume Examples & Samples
- Responsible for conducting corruption-specific risk assessments
- Advise lines of business on corruption risks in transactions, including anti-corruption due diligence and contractual protections
- Oversight of the ‘Anything of Value’ approval database for the region; responsible for the approval of referred candidates
- Develop and deliver anti-corruption training; raise the awareness of the Programme across the region
- Responsible for investigations related to breaches of the Anti-Corruption Policy
- Flexibility to adapt to changing priorities within both the business and compliance management
8
Corporate & Investment Bank-compliance Resume Examples & Samples
- Work experience in a compliance, legal, risk management, client onboarding or control function – preferably gained in a global financial institution
- Previous work experience in Investment Banking related roles, familiarity with the business and products
- Recognition of and early escalation of appropriate issues
- Experience in KYC Advisory, AML, CTF, PEP, ABC and Sanctions issues
- Understanding of individual as well as cumulative high risk indicators from KYC records
- Understanding of and ability to apply KYC Global Standards and to adhere to relevant procedures
- Strong demonstrated client skills/partnership building with the business
- Clear communication style and tone
- Demonstrated commitment and taking of ownership
- Flexibility in approach and attitude, ability to work in a fast-paced, dynamic and demanding environment
- Strong team player with excellent relationship building skills
9
Corporate & Investment Bank Compliance Resume Examples & Samples
- Build and maintain key relationships with the LOB/Regional Compliance user community and Technology in support of business process changes, technology builds and enhancements
- Work with the Project Manager to develop and maintain best-in-class operating protocols and manage critical aspects of the Compliance & Technology development, including the design of business requirements, user acceptance testing,
- , communication, training, system implementation and business rollout
- Develop and maintain detailed project plans, issue/risk logs, communication plans, and and implementation
- Coordinate with Compliance & Technology partners on functional design, build, testing processes other best practices project management artefacts by partnering with Compliance and Technology partners
- Develop PowerPoint presentations to communicate key messages on the value of Compliance solutions concisely and clearly to varying stakeholder groups
- Work with Compliance and Technology to develop detail communication plans and supporting materials to facilitate the seamless transition to the new approach
- An understanding of markets and trading,
- A desire to learn and the ability to clearly communicate issues with Compliance and business colleagues
- Deeper knowledge of specific sectors – Equities and/or Fixed Income
- Good working knowledge of the applicable regulatory principles and rules
10
Corporate & Investment Bank Compliance CFS UK Compliance Manager Resume Examples & Samples
- Management and development of team member allocated to the support of fund service product
- Good analytical and interpretative skills
- Ability to identify potential issues and/or areas of improvement
11
Corporate & Investment Bank-compliance Global Financial Crimes Compliance Officer Resume Examples & Samples
- Identify suspicious activity and report to law enforcement
- Know Your Customer (KYC) Policies, Standards and supporting technology development – regional input to global program, regional dissemination and engagement
- Suspicious Activity Reporting (SAR) Governance – regional quality control, significant SAR liaison with US
- Exam Management/Regulator Liaison – managing exams, reviews and audits which encompass facets of Financial Crimes Compliance across the EMEA region
- Governance – EMEA Financial Crimes policy, procedural and forum governance & control
- Management Information (MIS) – driving MIS disciplines across the EMEA FC agenda
- Non-UK FC Compliance Officer – management/liaison/coordination
- Training – liaison with EMEA and Global FC Compliance training functions. Co-ordination, development and delivery when required
- To keep all governing bodies and businesses appraised of the financial crimes related topics and regulatory changes in these jurisdictions and provide them with guidance on the interpretation and application of the requirements
- To implement the group procedures and systems for the AML and CTF and for compliance with sanctions and financial embargoes and bribery and corruption requirements and to develop any local procedure as required
- To provide educational trainings on financial crimes related subjects to locally based staff and assist in building a general climate of financial crimes awareness
- To act as a primary point of contact for the financial intelligence units (Tracfin, CTIF, FIU-Nederlands) and to maintain co-operative relationships with them
- To produce AML regulatory reports
- To build investigations files and fill suspicious activity reports as appropriate
- To attend industry forums on AML and sanctions
- Chair anti money laundering task forces within the locations and draft minutes
- Experience in the financial services industry – preferable wholesale banking business
- Relevant experience of Compliance activities particularly in relation to AML/ Sanctions preferred
- Good understanding of risk analysis processes
- The ability to make sound decisions, including escalation when appropriate, in regard of AML or sanction risk
- Ability to build strong working relationships with central and business aligned functions across the region and co-ordinate delivery across functions of Financial Crimes Compliance requirements
12
Corporate & Investment Bank-compliance Resume Examples & Samples
- Possess excellent analytical skills, preferably with previous experience in either a legal, compliance or risk and control environment, preferably with experience gained in a financial institution engaged in treasury services (payment services) related business
- Have experience of working closely with various business and control function stakeholders to understand detailed business processes
- Be able to interpret, map complex regulations against business processes in order to document compliance with those regulations AND be able to communicate the same in a concise way to business stakeholders
- Beneficial to have
13
VP-corporate & Investment Bank Compliance Audit Resume Examples & Samples
- Lead, plan and execute audits independently and efficiently, including risk assessment, audit planning, testing, control evaluation, report drafting and follow-up and verification of issue closure. Ensure audits are completed timely and within budget
- Identify risks and prioritize audit work as part of a risk based audit program in close partnership with the wider audit team
- Communicate audit issues and results effectively in both verbal and written form, and be able to influence effectively
- Foster a business climate and culture that encourages integrity, respect, diversity, excellence and innovation
14
Corporate & Investment Bank Compliance Investor Services Prime Broking & Equity Finance Compliance Officer Executive Director Resume Examples & Samples
- Primary responsibility to provide compliance coverage for the EMEA Prime Brokerage and Equity Finance Team. Global management of this business resides in London
- Ensure consistency of the compliance program across Global Prime Brokerage and Equity Finance, through coordinating execution of compliance standards with other regional compliance teams
- Execute the Compliance strategy for EMEA Prime Brokerage and Equity Finance
- Developing and implementing Compliance policies and procedures
- Conducting ongoing compliance risk assessments and contributing to compliance testing
- Developing and executing compliance education
- Minimum of 7 years experience providing compliance advisory support for prime brokerage and/or equity finance businesses
- Proven track record in a LOB Compliance advisory role
- Track record in interpreting regulatory requirements and relating them to business and operational requirements
15
Corporate & Investment Bank-compliance Corporate Functions Compliance Officer VP Resume Examples & Samples
- Collaborate with various groups to design appropriate responses to internal clients’ needs in accordance with our compliances practices framework
- Proactively engage with coverage areas to understand activities, identify potential risks, and partner with them in their managing of mitigation plans
- Work in close collaboration with Corporate Functions Compliance across all regions, to build and maintain key relationships across the Compliance department, in order to promote a culture of engagement and connectivity and to implement a consistent set of practices and related standards
- Experience in a Compliance advisory role (or a control function such as Risk or Oversight & Control), within the financial services industry
- Proven ability to build rapport, garnering respect and appropriately exercise authority in a collaborative cross-cultural environment
- Professional maturity and confidence in engaging with and expressing a point of view with Senior Management
- Proven ability to share lessons learned and best practices across an organization
- Strategic thinker, with ability to implement
- Outstanding communication skills, both verbal and written
16
Corporate & Investment Bank Compliance Resume Examples & Samples
- Assistance with implementation of new regulatory initiatives impacting the relevant products
- Assistance with the development and implementation of compliance policies
- Review of new business initiatives and assessment of their regulatory impact on the relevant products
- Have relevant compliance, regulatory consulting, regulatory audit, regulatory risk or legal experience
17
Corporate & Investment Bank-compliance Compliance Officer Resume Examples & Samples
- Proven knowledge of local and EU bank regulatory requirements (Governance, Outsourcing and Data Privacy) and ability to translate them into operational/process requirements
- Knowledge of the regulatory requirements in relation to a credit institution and TS products preferred
- Ability to consistently deliver high quality results on the local and firm-wide Compliance program
- Ability to work in partnership with the Compliance team, the Authorized Management, Supervisory Board, other senior members of the firm as well as with clients of the bank
- Coordinating presentations / briefings for regulators on major projects, incidents or examinations
- Advise on permissions, passporting and the interaction of Luxembourg and European regulatory regimes
- Strong interpersonal, communication and presentation skills in a senior business management and control functions environment
- Strong command of English language skills combined with French and/or German language skills preferred
- Demonstrated experience in the financial services industry
- Relevant experience of Compliance activities [Credit Institution, compliance, risk, audit, TS]
- Strong interpersonal, communication, leadership, presentation and influencing skills
- Analytical mind
- Ability to summarize complex topics concisely and drive practical outcomes
- Proven ability to make sound decisions, including escalation when appropriate, in regard of AML or sanction risk
- To work without supervision and act on own initiative to identify tasks to be undertaken
- Ability to build strong working relationships with central and business aligned functions across the region and co-ordinate delivery across functions of compliance
- Strong spoken & written English skills required
18
Corporate & Investment Bank-compliance Resume Examples & Samples
- Advise on policies and procedures in relation to JPMorgan Cazenove’s UK Listing Authority (“UKLA”) Sponsor function and AIM Nomad function including, but not limited to, the following
- Professional qualification (legal, accountancy and/or compliance) (preferable)
- Strong technical knowledge of the UKLA rules (Listing Rules, Prospectus Rules and DTRs), AIM and Nomad Rules, the City Code on Takeovers and Mergers, and other relevant regulations including the Market Abuse Regulation
- Self motivated, proactive and with a proven track record
- Good presentation skills, articulate, able to communicate quickly and clearly at all levels
- Ability to prioritise, work under pressure and meet tight deadlines
19
Corporate & Investment Bank-compliance Compliance Officer VP South Africa Resume Examples & Samples
- Keep your manager appraised of any new regulation, practice that may apply to activities conducted by business in South Africa
- Review regulations, conduct gap analyses, and develop policies and procedures
- Implement and update the group policies, procedures and the local Compliance Manual when necessary
- Assist with the reporting compliance related matters raised to relevant committees, management and reporting lines
- Bachelors degree, BCom/BA (LLB)
- JSE compliance officers exam
- Thorough understanding of JSE rules and regulations, equities , derivatives, Bonds, FX
20
Corporate & Investment Bank-compliance CFS UK Compliance Officer Associate Resume Examples & Samples
- Assist with the provision of advice on and interpretation of a wide range of regulatory and firm policy topics
- Assist with implementation of new regulatory initiatives impacting the relevant products
- Assist with the development and implementation of compliance policies
- Assist in the review and development of the compliance risk assessments for the relevant products
- Assist in the review of new business initiatives and assessment of their regulatory impact on the relevant products
- Assist in the development and delivery of compliance training
- Assist the CFS UK Fund Services Compliance Manager with collation of data and participation in regulatory and client due diligence visits
- Assist the EMEA Investor Services Compliance Manager with collation of data and production of management information for inclusion in control committees/ forums
- Assist and provide support to the CFS UK Fund Services Compliance Manager on projects and other related tasks/duties
- Have relevant compliance, regulatory consulting, regulatory risk or legal experience
- Good analytical and interpretative skills
- Demonstrated capability to learn quickly and manage multiple demands
- Strong communication and partnership building skills
- Master's Degree or equivalent
- Ability to identify potential issues and/or areas of improvement
21
Corporate & Investment Bank-compliance Resume Examples & Samples
- Provision of real-team advice and support on regulatory matters to the EMEA Markets businesses
- Provision of advisory support and relationship management within the Equities Derivatives businesses
- Manage relationships with the businesses at all levels
- Provide ‘live’ regulatory interpretations and decisions to the business in high profile and/or time constrained situations
- Provide back-up support to the equity businesses generally
- Undertake analysis and input to new product proposals, business re-organisations, other ad hoc projects, etc. e.g. review of specific initiatives/transactions/structures to identify regulatory issues, as well as term sheets, financial promotions, KYIs etc
- Liaise closely with the Legal Teams covering these businesses to identify and manage the regulatory risks associated with specific transactions and the businesses as a whole
- Provide training to the business
- Perform reviews of transactions and business areas
- Identification and appropriate escalation of issues to the EMEA Head of Equity Derivatives Compliance
- Previous experience gained within a similar Compliance environment
- Exposure to equity markets
- Knowledge of vanilla and equity derivatives, Structured Products and convertible bonds
- Understanding of the equity markets
- Well developed interpersonal skills and a good team player
- Knowledge of the FCA rules and UK and EU regulatory developments such as MiFID II, MAR
- Good understanding of market structures, products, new issuance processes, prospectus requirements, market abuse regulation and stabilisation
- Excellent client handling skills, a self-confident and proactive approach to their work and a desire to work at the forefront of an equity business widely recognised as one of the leading players in this market
22
Corporate & Investment Bank-compliance Resume Examples & Samples
- As part of a team, co-ordinate and deliver the Global and EMEA Compliance Risk Assessments across sub LOBs within Corporate and Investment Bank and Global Wealth Management
- Execute and deliver the Global Compliance RCSA plan including input into RCSA working Groups, Lead top down workshops, validating controls, issue identification, action plan remediation and follow-up
- Train, guide, and support Lines of Business / Regional Compliance groups on the framework and related standards
- Liaise with global counterparts to ensure a consistent approach to the Compliance Risk Assessment/ RCSA
- Manage daily, weekly and monthly reporting including related analysis to inform EMEA Compliance Management
- Manage the Compliance Issues & Action Plan process and ensure LOB Compliance and Practices Teams are up to date with Issue Management methodology, systems, reporting, deliverables and deadlines
- Coordination of any internal/external Audits or Exams for the EMEA compliance functions
- Become a strategic, valued partner with all other control function teams throughout the firm (finance, operations, technology, legal, risk, internal audit)
- Drive preparation of the Control Committee (CC) meetings and participate in other appropriate management committees/forums (e.g. EORCC, KEYS) in conjunction with other Control disciplines
- Develop and implement operating protocols for significant control issues and New Business Initiatives
- Lead and help with the execution of firm wide control initiatives for the Compliance Department
- Bachelor’s degree or equivalent in a related field,
- Significant experience in financial services or related field
- Previous experience in Compliance, Surveillance, Internal/External Audit or other control function desired
23
Corporate & Investment Bank-compliance Resume Examples & Samples
- Review of daily Interest Rate Benchmark surveillance reports generated by the Surveillance System to determine items which require further investigation and conducting the investigation to bring to resolution
- Identification, management, and resolution of issues regarding potential JP Morgan’s Interest Rate Benchmark submission policy violations
- Assist in the creation and maintenance of policies and procedures for the Interest Rate Benchmark Surveillance team
- Work with business and LOB Compliance Officers to resolve complex compliance issues
- Working with LOB Compliance Officers to respond to regulatory inquiries
- Working with LOB Compliance Officers to undertake internal investigations; and
- Providing assistance to LOB Compliance Officers in relation to other ad hoc projects and reviews as necessary
- Longstanding interest in the development of global financial markets
- Good understanding of a wide range of financial instruments
- Deeper knowledge of specific sectors – Commodity products (including OTC and listed derivatives) & Benchmarks
- Broad knowledge of how these products are valued, the markets in which they are traded, typical trading and investor strategies
- Experience in the development and implementation of system enhancements would be an advantage
24
Corporate & Investment Bank-compliance Resume Examples & Samples
- The EMEA Compliance Testing Team is responsible for the timely and effective management and execution of the EMEA Compliance testing program
- The testing team partner and support Line of Business Compliance Officers and other areas of Compliance globally. The role responsibilities include
- The successful candidate should
- Relevant Compliance experience or other related experience e.g. legal, risk management, audit, operations controls or similar
- Audit or relevant Industry Qualifications or a University Degree
- Be a team player, able to work with other team members across Compliance
- Have good organizational skills with an ability to manage, prioritise, work under pressure and meet tight deadlines
- Be comfortable interacting with, and presenting to, senior business management and control functions
- Have flexibility regarding working hours
25
Corporate & Investment Bank Compliance Compliance Officer Treasury Services VP Resume Examples & Samples
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- Provide a pro-active and re-active day-to-day advisory service AND credible challenge to the business in relation to regulatory requirements, internal policies and procedures, best practice guidelines and reputational matters which impact the business
- Support the business with Regulatory Change Governance and its Know Your Product (KYP) programme
- Provide induction and ongoing training on regulatory requirements, firm policies and best practice issues, using one-to-one and classroom methodologies as appropriate
- Assess new business proposals (products, services and systems) in light of new and existing regulations, policies, and procedures before, during and after their design and implementation
- Attend business meetings, risk committees and business control committees as appropriate
- Partner with Internal Audit and the Compliance Testing Team in connection with audit reviews and compliance testing of the business
- Conduct independent compliance risk assessments of the business
- Prepare for and participate in regulatory visits and reviews, working with the relevant business stakeholders and control functions
26
Corporate & Investment Bank-compliance Resume Examples & Samples
- Help ensure correctness and timeliness of regulatory notification & reporting to the regulatory bodies and to exchanges
- Provide support to the Bank’s Insider Controller in application of the requirements of the Russian Insider Dealing Law
- Perform ongoing monitoring in order to identify potential regulatory/compliance breaches and/or infractions of internal Compliance policies in relation to market abuse
- Assist the Compliance team on preparation of responses to regulatory inquiries and also on internal investigations
- Monitor regulatory changes and market practices to keep abreast of the regulatory requirements
- Assist on execution of the training plan and develop the Compliance culture
- Develop, document and review procedures and policies as part of the team’s general responsibilities
- Meet local regulatory requirements applicable for Securities Controller
- FSFM qualification certificate – series 1.0 (broker, dealer, asset management) + series 4.0 (custody)
- Higher education (University degree) (nostrofication (mutual recognition of foreign university degrees) as may be required)
- Clean criminal record from the Russian Internal Affairs Ministry’s register of crimes related to the financial crimes
- A clean record of previous Securities Controller responsibilities with financial institutions whose Federal Service for Financial Markets (FSFM) license was not revoked on the basis of regulatory failings (within the last 3 years)
- Minimum two years of relevant experience in Internal Control, Compliance, Risk Management, or Audit
- Knowledge of FSFM and Central Bank of Russia regulatory and compliance requirements and standards of internal controls on securities markets that impact a global financial services firm
- Advanced knowledge of Broker, Dealer and Custody activities and related products
- Strong communicator, self organised, problem solving, analytical skills, attentive to details and able to work in team
- Excellent written and verbal communication skills both in Russian and English
- Proficient with Microsoft Word, Excel, Outlook and PowerPoint
27
Corporate & Investment Bank-compliance Resume Examples & Samples
- Execution of the EMEA Compliance Testing Program in line with the firm’s expectation
- Providing guidance and support to more junior members of the team both in terms of process and subject matter expertise
- Have a number of years’ relevant Compliance experience or other related experience e.g. legal, risk management, audit, operations controls or similar
28
Corporate & Investment Bank Compliance Compliance Officer Resume Examples & Samples
- Executing the Surveillance program by analysing the firm's sales and trading activities against all available external market intelligence and internal information sources, and investigating any issues arising
- Supporting special investigations into market incidents working with the relevant LOB Markets Compliance team
- Responding to regulatory and exchange enquiries in a timely manner
- Working with Compliance Management and the respective LOB Markets Compliance Officers to expand the scope and improve the effectiveness of the current MI monitoring program for the business lines for which one is responsible
- Keeping up to date with the latest developments in the global financial markets, including mergers & acquisitions and capital markets activities, and secondary market trading strategies
- Anticipating changes to the firm's sales and trading activities in response to market events or trends and executing ad-hoc reviews, in addition to the agreed program, to mitigate against any heightened regulatory risks which may arise
- Recommending and assisting in the implementation of system and procedural changes that would enhance the effectiveness and efficiency of the Surveillance program
- Evaluate the impact of new financial regulation on the firm's sales and trading activities and implement appropriate changes to the Surveillance program
- Evaluate the impact of new business initiatives on the firm's sales and trading activities and implement appropriate changes to the Surveillance program
- Working in partnership with the respective LOB Markets Compliance Officers to build a network of key front and middle office contacts across one's business line coverage
- Sharing knowledge across Surveillance and the LOB Markets Compliance team; and
- Providing assistance to Compliance management and LOB Compliance on ad hoc projects and/or internal investigations as necessary
29
Corporate & Investment Bank Compliance Compliance Officer Resume Examples & Samples
- Prepare advice and guidance on regulatory and firm policy issues to the business in relation with South Africa requirements or corporate policies and procedures and alert your management on any risk
- Assist your manager to support the maintenance of strong regulatory relationships
- Support the local Compliance in the performance of AML and Compliance risk assessment, testing program, and new business regulatory reviews
- Conduct in person training regarding regulatory and corporate policies & procedures
- Monitors compliance through various means including statistical sampling
- Assist Compliance to provide regulatory compliance reports to management and regulators
30
Corporate & Investment Bank Compliance Resume Examples & Samples
- To ensure JPMorgan’s Corporate and Investment Bank activities in France are organized and executed in accordance with the requirements of the applicable regulatory framework, the professional and ethical standards, as well as with the instructions, policies and procedures of J.P. Morgan
- To act as an advisor to the business and alert management on Compliance risks
- To draw-up and update compliance-related Policies and Procedures in accordance with applicable regulation and Group requirements
- To keep all governing bodies and businesses appraised of the Compliance-related topics and regulatory changes in those three jurisdictions and provide them with guidance on the interpretation and application of the requirements
- To provide educational trainings on Compliance-related subjects
- To support interactions with our banking and securities regulators and to maintain co-operative relationships with them and day to day oversight of Compliance personnel based in the jurisdiction
- To assist the Head of Compliance in any CIB related matter in France
- To identify any personal data processing and fill notifications with the relevant authorities
- To work in conjunction with internal stakeholders including Risk Management and Audit as appropriate to achieve the objectives of the Compliance function, not withstanding existing primary responsibilities allocated to each function; and
- To identify / receive / record / follow-up regulatory breaches, compliance-related incidents & compliance-related complaints and advise on relevant actions to avoid re-occurrence
- Minimum of 6-8 years experience in Compliance roles – preferable wholesale banking business
- Good understanding of risk analysis processes
- Ability to prioritize multiple tasks, work under pressure and meet tight deadlines
- Ability to summarize complex topics concisely and drive practical outcomes
- The ability to make sound decisions, including escalation when appropriate, in regard of AML or sanction risk
- Evidence of working on the delivery of projects or implementing process change required
- To work without supervision; act on own initiative to identify tasks to be undertaken; work as part of a team
- Ability to build strong working relationships with central and business aligned functions across the region and co-ordinate with functions of Financial Crimes Compliance requirements
- Ability to supervise, instruct and guide a Compliance analyst assigned to you
31
Corporate & Investment Bank-compliance Resume Examples & Samples
- Provision of leadership, support and advice within the Equities Compliance team
- Provision of senior advisory support and relationship management within the Equities businesses; including. This is an advisory role covering equity market activities in various forms across all developed and emerging market EMEA jurisdictions. As such, the work is varied and time critical
- Manage relationships with the businesses at all levels, including the regional heads
- Undertake analysis and input to new product proposals, business re-organisations, other ad hoc projects, etc. e.g. review of specific initiatives/transactions/structures to identify regulatory issues, as well as term sheets, financial promotions, etc
- Liaise closely with the Legal Teams covering these businesses to identify and manage the regulatory risks associated with specific transactions and the businesses as a whole. etc is a pre-requisite
- Identification and appropriate escalation of issues to the EMEA Head of Equities Compliance
- Providing oversight and direction to more junior members of the equities compliance team
- Extensive trading floor compliance experience gained within a similar Compliance environment
- Significant exposure to equity markets
- Detailed knowledge of cash equities, vanilla and exotic equity derivatives, Electronic Client Solutions, ECM Syndicate, portfolio trading and convertible bonds
- In-depth understanding of the equity markets
- Well developed interpersonal skills and be a good team player
- A detailed working knowledge of the FSA rules (including COBS), UK Market Abuse Code and recent UK and EU regulatory developments, such as MiFID II, MAR, EU SSR,
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Corporate & Investment Bank Compliance Custody & Fund Services UK Compliance Manager Resume Examples & Samples
- Provision of advice on and interpretation of a wide range of regulatory and firm policy topics
- Assistance in the development and delivery of compliance training
- Participation in regulatory and client due diligence visits
- Superior analytical and interpretative skills
- Strong communication and partnership building skills
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Corporate & Investment Bank Compliance Fiduciary Compliance Officer VP Resume Examples & Samples
- Provide coordination to the continued development of the Firmwide Fiduciary Program to all regions in the CIB. Ensure consistency of regional efforts, sharing of issues and best practices
- Providing advice on fiduciary and associated conflicts of interest issues to the business and to compliance associates
- To keep the business appraised of the Compliance related topics and regulatory changes in relation to fiduciary across all regions
- Participation in maintaining an inventory of fiduciary activities across regions and assessing new business initiatives for fiduciary obligations
- Coordinating with all regions on approach in risk assessments, calibrate regionally and firm-wide, understand and support differences in assessments
- Partnering with the Compliance Practices Team to develop and enhance monitoring and testing plans globally
- Assisting in the development of training programs, creating content and conducting training as required
- Reviewing Compliance Policies for adherence to applicable fiduciary regulations
- Developing metrics and analyzing trends relating to Fiduciary, ensuring escalation of issues
- Assessing regulatory, audit and compliance testing findings and adapting the program as required
- Preparing cross-regional communications of Fiduciary matters
- Participate in addressing regulatory findings
- Researching conflicts and fiduciary matters and staying abreast of related regulatory changes and applying knowledge to enhance the fiduciary compliance program
- Analyze reporting metrics and highlight emerging risks. Develop thresholds and targets for fiduciary metrics
- Participate in the Compliance Risk Assessment for fiduciary
- Produce Compliance Fiduciary presentations for Senior Management
- Proven track record in an advisory Compliance role
- Influential, ability to rally teams for consistency and meet goals across LOBs
- Experience and/ or knowledge of Fiduciary regulations
- Adept in communicating complex messages succinctly, written and verbal
- Evidence of strong interpersonal and influencing skills to be demonstrated through long-term partnerships with senior managers, wider business and other internal/external control functions
- Significant financial services industry experience
- Bachelors degree in Accounting / Finance, Economics or related discipline
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Corporate & Investment Bank Compliance Testing Compliance Officer VP Resume Examples & Samples
- Manage a portfolio of GFCC &GACC related reviews to determine if business processes, procedures, and controls are designed appropriately and operating effectively
- For assigned reviews, conduct the scoping, execution and documentation of properly designed compliance tests using appropriate sampling methods and testing processes
- Review for content and quality all testing documentation
- Extensive experience of relevant Compliance experience or other related experience such as risk management, audit, or similar control-related experience / Experience with the EMEA regulatory environment
- Area of Expertise – Demonstrable, in-depth knowledge of AML, OFAC and other AML regulatory requirements and standards applicable to a global financial services firm / Knowledge of wholesale and consumer banking businesses and related products including investment management, treasury services, and correspondent banking businesses
- Experience with and/or knowledge of Global (EMEA and Americas) regulatory environment
- Financial Services Regulatory experience
- Language skills preferred
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Corporate & Investment Bank Compliance E-trading Compliance Manager Executive Director Resume Examples & Samples
- To work directly with senior global Investment Bank technology and front office personnel on regulatory compliance strategy for the firm’s global, multi-jurisdictional, cross asset class (equities, fixed income, futures, commodities, FX) client-facing electronic trading and market making initiatives
- Build and maintain strong client relationships with senior technology and business personnel
- Advise business management and information technology on rules and regulations applicable to the cross-asset class electronic trading platforms
- Interact with compliance peers on line-of-business specific compliance issues related to the development/rollout of systems and other electronic trading matters
- Work directly with senior technology and business management to manage the development and maintenance of business and compliance policies and procedures relating to relevant rules and regulations, system controls and testing
- Strategizing post implementation review and testing of technology rollouts and enhancements
- Identifying needs and delivering relevant training to technology and front-office personnel
- Bachelor degree required,
- Significant industry experience covering financial instruments; significant experience managing compliance matters (e.g., rule implementations)
- The ability to work within a team but operate under own imitative
- Excellent written and interpersonal skills; solution driven; confident; highly motivate and proactive
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Global Corporate & Investment Bank Compliance Resume Examples & Samples
- Work with the CIB Compliance leadership in defining, prioritizing and achieving strategic objectives and, ensuring projects delivered meet the approved business requirements
- Establish working relationships and routinely interface with: project sponsors, business stakeholders, technology partners, subject matter experts and other internal/external clients
- Project management role may range from day-to-day execution to project creation, with more of an oversight role, of CIB Compliance projects, including some or all of the following functions
- 7-10 years of relevant work experience in business analyst/project management role
- Excellent analytical skills and business acumen
- Management experience leading project teams from creation to execution; includes people and performance management, and team structuring
- Self motivated individual that demonstrates initiative
- Team player with ability to build strong cross-business relationships - proven flexibility, adaptability, and reliability
- Understanding of regulatory and compliance environment and lifecycle a plus
- Excellent oral and written communication presentation skills
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Corporate & Investment Bank Compliance Resume Examples & Samples
- Support the implementation and execution of Compliance best practices under all current and up and coming initiatives
- Bachelor's Degree, required. JD or law degree, preferred
- 3-5 years experience with a large financial institution
- Project management, compliance, audit, governance and/or control background preferred
- Ability to synthesize large amounts of information and propose recommendations
- Detail oriented and ability to manage multiple tasks simultaneously with minimal supervision
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Corporate & Investment Bank Compliance Resume Examples & Samples
- Manage the weekly, monthly and quarterly Escalation & Reporting processes for senior CIB Compliance management
- Develop a robust, end-to-end reporting framework for CIB Compliance
- Support the implementation and execution of Compliance best practices for CIB Compliance Reporting – e.g., procedures, governance documentation and quality assurance (QA) reviews
- Partner with LOB / Region Compliance teams, Internal Audit, Operational Risk and other control functions to execute on key Compliance initiatives within the context of the firm’s global compliance mandate
- Participate in working groups and initiatives led internally and externally
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Global Corporate & Investment Bank Compliance Resume Examples & Samples
- Minimum of 8+ years as a compliance professional, regulator, operational risk manager, or auditor with a deep understanding of controls, RCSA frameworks, issue management protocols, and governance practices
- Knowledge of compliance standards and best practices
- The candidate must be motivated, energetic, detail-oriented, organized, articulate and willing to take responsibility
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Corporate & Investment Bank Compliance Compliance Officer Associate Resume Examples & Samples
- Provide close support to the Head of Compliance and the JIG Compliance team and assist with the numerous activities in order to move the Compliance agenda forward
- Take independent ownership for specific initiatives and work streams of projects that impact the department and be responsible for driving programs to successful completion
- Manage and organise regulatory correspondence and interactions with our regulators
- Ensuring the Team is aligned to the oversight/control agenda and work in compliance with corporate objectives and policies
- Producing MIS for Compliance Senior Management incl. monthly scorecards, preparation of Legal Entity board papers and any other governance & committee MIS as required
- Collaborate and interact with other control functions (Fin, Tech, Ops, Legal, HR) and escalate issues as appropriate and required
- Develop and undertake the Annual Compliance Monitoring Programmes for each of the local JPM Legal Entities
- Provide timely advice and assistance to the Trust & Fiduciary and Fund Administration businesses on regulatory issues, compliance matters and the Firms policies and procedures
- The successful candidate for this position will be a team player who thrives on challenge
- The individual will need to be proactive and action orientated with good analytical skills and a proven ability for problem solving. Relationship building and influencing skills to engage stakeholders and deliver through others
- Be a self starter with the ability to work independently
- Strong writing skills and ability to edit information accurately and succinctly for senior management
- Advanced skills in presentation software such as Powerpoint preferred
- Ability to assess complex organizational objectives, diagnose problems and prioritize efforts, taking ownership to solve them
- Demonstrated collaborative style and ability to partner with people across a diverse and global organisation
- Previous project /work stream management experience welcome
- Proven experience of a Compliance or equivalent background preferred
- Knowledge of Jersey and Guernsey Regulatory Requirements
- Hold or be working towards a professional compliance or equivalent qualification
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Corporate & Investment Bank Compliance Control Room Officer VP Resume Examples & Samples
- Day to day involvement in the core responsibilities of Control Room Compliance including
- Control Room experience or exposure to a Control Room environment
- Ability to identify real issues and know when to escalate
- Excellent interpersonal skills, strong personality, confident, highly motivated and organised. A team player, but able to operate under own initiative
- Good working knowledge of regulatory and internal control requirements, particularly in relation to effective Chinese wall arrangements
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Corporate & Investment Bank-compliance Conflicts of Interest Compliance Officer VP Resume Examples & Samples
- Providing coordination to the continued development of the COI Program to all regions in the CIB. Ensure consistency of regional efforts, sharing of issues and best practices
- Sourcing and providing input into the enhancement of the COI inventory, and the CIB COI Standards and Framework on behalf of compliance
- Providing advice on associated COI issues to the business and to compliance associates
- To keep the business appraised of the Compliance related topics and regulatory changes in relation to COI across all regions
- Partnering with the Compliance Practices Team to develop, enhance and execute COI monitoring and testing plans globally
- Reviewing relevant Compliance Policies for adherence to applicable COI regulations
- Participating in the development of metrics, including thresholds. Analyzing trends relating to COI, ensuring escalation of issues
- Assessing regulatory, audit and compliance testing findings for COI relevance and adapting the program as required
- Preparing cross-regional communications of COI matters
- Participating in addressing regulatory findings
- Researching COI matters and staying abreast of related regulatory changes and applying knowledge to enhance the COI compliance program
- Conducting ongoing risk assessments, including input into the further development of the COI risk assessment. Coordinating with all regions on approach in risk assessments, calibrate regionally and firm-wide, understand and support differences in assessments
- Producing Compliance COI presentations for Senior Management
- Proven track record in an advisory Compliance or risk management role
- Influential, ability to rally teams for consistency and meet goals across Lines of Business
- Track record in interpreting regulatory requirements and relating them to operational requirements
- Proven ability to multi task as well as assess and change priorities
- Independent thinker with strong analytical and problem solving skills
- Adept in working with people at all levels in the organization and with various backgrounds
- Strong project management skills with focus on execution
- A high level of attention to detail
- 9+ years financial services industry experience
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Corporate & Investment Bank-compliance Conflicts of Interest Compliance Officer Associate Resume Examples & Samples
- Assisting in the coordination to the continued development of the COI Program to all regions in the CIB. Ensure consistency of regional efforts, sharing of issues and best practices
- Partner with Line of Business Compliance to design and execute ongoing COI monitoring reviews in accordance with the Firm’s procedures to provide ongoing independent assessment of compliance with the COI framework and relevant regulations
- Participate in the development of metrics, including thresholds. Analyzing trends relating to COI, ensuring escalation of issues
- Assisting in preparing cross-regional communications of COI matters
- Coordinating with all regions on approach in Compliance risk assessments, calibrating regionally and firm-wide, understand and support differences in assessments
- Assisting in producing Compliance COI presentations for Senior Management
- Proven track record in a Compliance or risk management role
- Experience and/ or knowledge of COI regulations
- Ability to interpret regulatory requirements and relating them to operational requirements
- Strong written and verbal skills
- Advanced PowerPoint and Excel skills
- Financial services industry experience
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Corporate & Investment Bank Compliance Control Room Officer Associate Resume Examples & Samples
- Minimum 2-3 years legal or compliance experience, with exposure to a Control Room environment preferable
- Methodical person with attention to detail, strong administrative skills and analytical approach to problem solving
- Ability to identify issues and know when to escalate
- Ability to meet tight deadlines and to make quick and reasoned decisions under pressure
- Exposure to regulatory and internal control requirements, particularly in relation to effective Chinese wall arrangements, would be an advantage
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Corporate & Investment Bank Compliance Compliance Officer Resume Examples & Samples
- Conduct in person training regarding regulatory and corporate policies & procedures. Identification of training requirements, ad hoc targeted training on regulations and compliance procedures
- Monitors compliance through various means including statistical sampling. Scheduling of compliance monitoring activities in accordance with agreed compliance monitoring coverage plan. Reporting and tracking of non-compliance incidents. Capturing of information on relevant internal Group systems
- Working in partnership with other members of the regional/global CIB Compliance team, and participate in regional/global CIB Compliance projects
- Financial markets experience essential
- Registered persons exam preferred
- Compliance qualification/registrations preferred
- Strong regulatory knowledge and experience - JSE/FSB
- Sound working knowledge of FAIS, FICA, POPI and TCF requirements
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Corporate & Investment Bank-compliance Auditor Resume Examples & Samples
- Execute and document assigned audits with limited supervision in a risk focused manner and to a high standard in accordance with department’s methodology
- Employ computer-assisted auditing tools where applicable to maximize the efficiency of sampling and to reduce the risk of fraud and identify opportunities for the use of continuous monitoring and automated auditing
- Analyse risks, proactively identify the root-cause of issues with a view to providing recommendations for improvement where weaknesses are identified
- Build and maintain relationships with stakeholders and colleagues, establish effective teamwork and innovative thinking
- Travel to overseas business locations as required
- Compliance certification (CISI, ACAMS, ICA or equivalent) preferred
- 2 to 4 years prior experience in executing Compliance related Audits in one or more of the following areas: Financial Crime (AML/KYC), Surveillance, Control Room, Compliance Testing, Conduct, and/or working in a relevant position in Compliance or Risk and Control functions within Investment Banking
- 2 to 4 years prior experience and understanding of one or more of the following: US, UK and EMEA global investment banking regulatory framework including but limited to 3 & 4 EU AMLD, FCA AML Regulations, USA Patriot Act, Senior Manager’s Regime, Market Abuse Directive, AIFMD, EMIR, MiFID II, etc
