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Avp Compliance
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Third Bridge London, United KingdomCompany Description · **Company Overview** · At Third Bridge, we're a primary research business providing professional services to Private and Public Equity Investors, Investment Consultants, Investment Managers, and more. · We help those investors understand companies and the is ...
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Compliance Assurance Analyst, Avp
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eFinancialCareers London, United KingdomServes as a senior compliance risk analyst for Independent Compliance Risk Management (ICRM)'s Assurance team responsible for assessing compliance risks and controls implemented by the first and second line of defense. Also responsible for performing riskassessments of Citi's com ...
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eFinancialCareers London, United KingdomYou will be expected to contribute to the overall compliance assurance and testing framework by: · - Conducting risk-based thematic and desk reviews of the London and EMEA business areas to provide assurance over compliance and conduct risks to key stakeholders · - Scoping review ...
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AVP, Compliance Advisory
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AVP, Compliance Advisory
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AVP, Compliance Advisory
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Central Compliance Reporting AVP
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Central Compliance Reporting AVP
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Mizuho London, United KingdomJob Description · Who are we? · We are not your typical financial institution. It's our people who make us a cut above. Here, every person is respected because of their differences, not in spite of them. · We pride ourselves on a culture of purpose, passion and compassion. At Miz ...
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Central Compliance Reporting AVP
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Mizuho London, United KingdomWho are we?We are not your typical financial institution. It's our people who make us a cut above. Here, every person is respected because of their differences, not in spite of them.We pride ourselves on a culture of purpose, passion and compassion. At Mizuho, we provide the stab ...
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Legal & Compliance - Credit - Attorney, AVP
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Financial Crime Compliance Project AVP
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Michael Page (UK) London, United KingdomOur client is a highly regarded international bank based in their City of London office. · Strong knowledge is required in data and controls that are essential for transaction monitoring. · Assisting with wider governance activities in relation to transaction monitoring and the ...
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Financial Crime Compliance Project- AVP
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Compliance Professionals London, United KingdomJob Description · THE COMPANY: · Our client is a successful banking firm with a strong global presence, offering a comprehensive range of services across corporate and investment banking activities. · THE RESPONSIBILITIES: · To undertake reviews of current rules, thresholds and ...
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Financial Crime Compliance Project- AVP
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Compliance Professionals London, United KingdomTHE COMPANY: · Our client is a successful banking firm with a strong global presence, offering a comprehensive range of services across corporate and investment banking activities. · THE RESPONSIBILITIES: · To undertake reviews of current rules, thresholds and impact of the rule ...
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Financial Crime Compliance Project- AVP
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Compliance Professionals London, United KingdomOur client is a successful banking firm with a strong global presence, offering a comprehensive range of services across corporate and investment banking activities. · The role supports the 2LoD investigations with an understanding of money laundering and the related financial c ...
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Financial Crime Compliance Project- AVP
6 days ago
Compliance Professionals London, United KingdomOur client is a successful banking firm with a strong global presence, offering a comprehensive range of services across corporate and investment banking activities. · The role supports the 2LoD investigations with an understanding of money laundering and the related financial c ...
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Financial Crime Compliance Project- AVP
6 days ago
Compliance Professionals London, United KingdomOur client is a successful banking firm with a strong global presence, offering a comprehensive range of services across corporate and investment banking activities. The role supports the 2LoD investigations with an understanding of money laundering and the related financial crim ...
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Financial Crime Compliance Project- AVP
6 days ago
Compliance Professionals London, United KingdomTHE COMPANY: Our client is a successful banking firm with a strong global presence, offering a comprehensive range of services across corporate and investment banking activities. THE RESPONSIBILITIES:To undertake reviews of current rules, thresholds and impact of the rules and th ...
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Legal & Compliance - Credit - Attorney, AVP
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Blackstone London, United Kingdom Full timeBlackstone is the world's largest alternative asset manager. We seek to create positive economic impact and long-term value for our investors, the companies we invest in, and the communities in which we work. We do this by using extraordinary people and flexible capital to help c ...
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State Street London, United Kingdom RegularPurpose of Role: · Recruitment compliance is the practice of ensuring that your hiring process is fair and in accordance with all relevant laws and regulations, while abiding to state, most practices, universal laws and internal practices. You will be responsible Drive Internatio ...
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Compliance
2 days ago
Barclay Simpson London, United Kingdom**Compliance**: · - London · - competitive · - Job type: Permanent · - Sector: Banking · - Job reference: NE40299 · my client is a global investment bank. They are looking to hire a good compliance advisory officer at the AVP level. · This is a different role to most AVP advisory ...
AVP Compliance - London, United Kingdom - Bruin
Description
Exciting Opportunity:
Join a Fabulous Team at One of the Largest and Most Well-Known Investment BanksAs an AVP Conduct & Compliance in Conduct & Compliance, your primary responsibility is to execute and deliver all audit engagements assigned by the Chief Auditor and Heads of Audit.
You'll support the Head of Audit and Senior Audit Managers in this role, contributing to the annual planning process and maintenance of the audit risk universe.
Your role involves developing subject matter expertise in your area of focus.KEY RESPONSIBILITIESAssist the Head of Audit in portfolio management, risk assessments, and audit planning.
Take ownership of assigned areas during engagements, managing stakeholders internally and externally.
Aid in planning engagements, identifying key risk areas, and producing high-quality Audit Planning Documents.
Ensure timely production of all internal and external deliverables according to EIAO methodology and standards.
Develop and execute effective tests of key controls, document audit work, and evaluate the overall effectiveness of controls.
Escalate audit issues to senior management and collaborate with auditees to find solutions.
Stay updated on regulatory requirements and financial market trends, integrating them into continuous monitoring activities.
Maintain positive relationships with stakeholders to ensure smooth and professional audit planning and delivery.
Follow up on issues to ensure satisfactory closure of Management Action Plans, including testing of remediated controls.
Assist the Head of Audit in preparing management information and third-party submissions.
Collaborate with internal audit colleagues regionally and globally, contributing to strategic initiatives as needed.
WORK EXPERIENCEPrior internal audit or Compliance experience in the financial services industryExpertise in compliance risks - Essential Previous involvement in at least one Core Compliance area (Advisory, Compliance Risk Assessment, etc.).
Functional / Technical Competencies:
Proficient in risk-based auditing methodology.
Understanding of conduct risks and controls in first and second lines of defense.
Familiarity with global regulatory requirements for markets business.
Ability to work effectively in a small, focused audit team.
Strong written and verbal presentation skills.
Please Note:
We are not the company itself; we are recruiting on behalf of our client.
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