1394 compliance manager jobs found

As a Compliance Manager, you will be part of the Compliance Department and will be in charge of a Compliance team mainly responsible for investigations and suspicious activity reports (SARs). You will have multiple tasks, which include: Ensuring the team’s mission is achieved and deadlines are met; Process incoming internal requests relating to suspected money laundering cases; Perform thorough investigations to review client relationships regarding potential money laundering and other financial crimes; Manage complex investigations and conduct legal clarifications; Write and submit SARs to Financial Intelligence Unit (MROS); Communication with MROS as well as other Swiss law enforcement authorities; Reportings to management; Training and coaching the team. Qualifications Minimum 5 years of experience in a compliance or similar position and minimum 2 years of experience as team leader; Law degree and/or CAS in Compliance in Financial Services (formerly CAS in...

Background to & purpose of the role: The Compliance Manager will have primary responsibility for the compliance of the activities of the Dubai office (“CMCME”) with DFSA regulation, supporting the sustainability of the business and promoting and protecting the reputation, assets and effectiveness of CMC Markets through the delivery of compliance services and advice. The role reports to the UK Head of Compliance. This is a compliance generalist role so it has broad scope and responsibilities will include: Responsible for day-to-day compliance, providing advice & solutions to the business and individual employees, in particular the SEO The Compliance Manager will act as the DFSA authorized CO/MLRO and perform all duties specified in Clause 11.4 of the DFSA AML Rulebook. The Compliance Manager will ensure that the business is operating within the relevant regulations and promote a positive Compliance and risk management culture within the office Maintain and...

Job Title Card Compliance Manager Job Purpose Głównym zadaniem na stanowisku Card Compliance Manager'a  jest zapewnienie zgodności naszej działalności z regulacjami organizacji płatniczych Visa, Mastercard i innych. Osoba na tym stanowisku będzie ściśle współpracować z zespołami produktowymi, operacyjnymi, technologicznymi i innymi, aby zapewnić przestrzeganie zasad i wymogów systemów kartowych, jednocześnie współpracując z organizacjami kartowymi. Obowiązki: Zapewnienie zgodności działalności Spółki z zasadami organizacji płatniczych, posiadaną licencją acquiringową oraz obowiązującymi przepisami prawa; Monitorowanie zmian w przepisach prawa i zasadach organizacji płatniczych dotyczących działalności Spółki oraz wspieranie procesu wdrażania wymaganych zmian w produktach, systemach i operacjach; Interpretacja zasad dot. współpracy z organizacjami kartowymi w przypadku wątpliwości lub konfliktu z innymi regulacjami; Ocena potencjalnych zdarzeń niezgodności;...

We’re looking for a Regulatory Product Compliance Manager to work alongside our Receive Product team to help expand our global offering for business and retail customers. You will closely work with the teams’ Product Managers, as well as provide support to a range of Engineers, Designers, Analysts and Operations Specialists to help grow our offerings globally.  Your primary focus will be to help the Product team to identify and effectively manage regulatory compliance risks across a range of existing and new markets for business and retail customers globally. In addition, you will support the team as it seeks to bring to market a number of new initiatives and products. You will be expected to maintain a strong awareness of the impact of regulation on commercial viability and technological innovation. Your mission Launch New Products and Features: Collaborate with Product Teams throughout the product lifecycle: from design and user testing, to launch and...

FinCrime Product Compliance Specialist/ Manager - Payments At Wise we believe that people who are closest to risks are the best placed to identify and address these. We are looking for an experienced Compliance Manager to join the Wise team, who will work across our product and compliance teams to take the Company to the next level by ensuring we maintain a state-of-the-art financial crime program. This individual will specifically focus on making sure our Spend and Receive products and features are growing while balancing compliance requirements and risk.  Your mission:  Be an expert at evaluating the compliance and card scheme requirements associated with payments products such as merchant due diligence, fraud, aml and chargebacks. Comfortable assessing the financial crime risks of new products in our Spend and Receive product domains.  Upskilling yourself and the product teams on the risks and regulations.   Excellent communicator that can explain compliance...

About the job:   Responsibility ·   You will play a crucial role in ensuring the successful establishment and implementation of an independent 2nd line Compliance team in our office in Gurugram and responsible for supporting projects and conduct tasks, controls, and investigations on behalf of the global compliance function.   · You will take lead in the creation of a monitoring setup for the activities that are outsourced to the office in Gurugram, and in setting up a reporting framework for this.   ·   You will be responsible for various periodic and ad-hoc reports as a part of the compliance function. This can be tasks related to anti-money laundering, transactions monitoring, and due diligence of clients and other areas subject to the supervision by Group Compliance.    ·   You will ensure ongoing reporting to the Group Compliance COO Office and the Chief Compliance Officer on compliance risks and help identify risk exposures...

At Ripple, we’re building a world where value moves like information does today. It’s big, it’s bold, and we’re already doing it. Through our crypto solutions for financial institutions, businesses, governments and developers, we are improving the global financial system and creating greater economic fairness and opportunity for more people, in more places around the world. And we get to do the best work of our career and grow our skills surrounded by colleagues who have our backs.  If you’re ready to see your impact and unlock incredible career growth opportunities, join us, and build real world value. THE WORK: Ripple is seeking to hire an experienced Manager to support all aspects of its Global General Compliance program. This position will be heavily focused on supporting the day-to-day operations of the General Compliance team. This position reports to the Senior Manager, General Compliance. WHAT YOU’LL DO: Manage day-to-day activities of Ripple’s...

Job Description & Responsibilities Interactive Brokers is looking to hire a Compliance Manager / Analyst for the APAC region in Hong Kong. The position will report to the Director of Regulatory Correspondence, APAC. The primary responsibilities for this role include: Act as the liaison person to interact with regulators and other financial services regulatory agencies; Assist in coordinating regulatory inspections, self-assessments and regulatory surveys for APAC entities to ensure timely and quality submissions. Assist in the information gathering and drafting of written responses to regulatory enquiries, questionnaires, and consultations for IBKR’s APAC entities. Keep abreast of new regulations and updates and disseminate regulatory notices, circulars, and other regulatory developments to management, compliance teams within the APAC region and relevant stakeholders. Assist in coordinating and handling Compliance related requests from internal and external...

A propos du poste:   Principales Missions : Rattaché au Directeur de la Conformité, vous participez aux missions suivantes: Assurer une mission de conseil auprès des opérationnels au regard de la réglementation et règles internes applicables  Élaborer et mettre à jour les procédures du service et participer à la validation des procédures internes  Suivre l’évolution de la règlementation et participer en collaboration avec les équipes du Groupe aux projets d’implémentation des nouvelles règlementations Analyser et coordonner la validation des entrées en relation avec les clients présentant un risque élevé Réaliser des analyses LCB-FT et Market Abuse sur les dossiers et les alertes escaladés par la première ligne de défense  et rédiger les propositions de déclarations de soupçons destinées aux autorités compétentes (TRACFIN, AMF) Valider les supports commerciaux et communications marketing au regard de nos obligations règlementaires  Contribuer à la réalisation...

  Who We Are   At OKX, we believe our future is reshaped with technology. Founded in 2017, OKX is one of the world’s leading cryptocurrency spot and derivatives exchanges. OKX innovatively adopted blockchain technology to reshape the financial ecosystem by offering some of the most diverse and sophisticated products, solutions, and trading tools on the market. Trusted by more than 20 million users in over 180 regions globally, OKX strives to provide an engaging platform that empowers every individual to explore the world of crypto. With its extensive range of crypto products and services, and unwavering commitment to innovation, OKX vision is a world of financial access backed by blockchain and the power of decentralised finance. We invest in our people as much as we invest in the technology. We are united by our engaging culture, here we win as a team, embrace changes, and do the right thing. We are committed to creating a friendly, rewarding and diverse environment to...

Job Description and Responsibilities The ideal candidate has a minimum of ten years of regulatory compliance experience in the Indian capital markets. This experience may have been gained by working for a stock exchange, a regulatory organization, a stock broker or a similar financial service organization.   In addition, the candidate should have hands-on experience in independently handling all compliance functions of a stock broking firm, including but not limited to the following: Over ten years of experience working in the compliance department of a large/medium-sized broking house Continuously tracking regulatory updates from stock exchanges and SEBI. Interacting with various departments within the organization to meet deadlines Must be comfortable working in an automated, hands-on environment. Ensuring compliance with regulatory norms of SEBI, Exchanges and Depositories Reviewing and verifying transactions/trades to prevent money...

  Who We Are   At OKX, we believe our future is reshaped with technology. Founded in 2017, OKX is one of the world’s leading cryptocurrency spot and derivatives exchanges. OKX innovatively adopted blockchain technology to reshape the financial ecosystem by offering some of the most diverse and sophisticated products, solutions, and trading tools on the market. Trusted by more than 20 million users in over 180 regions globally, OKX strives to provide an engaging platform that empowers every individual to explore the world of crypto. In addition to its world-class DeFi exchange, OKX serves its users with OKX Insights, a research arm that is at the cutting edge of the latest trends in the cryptocurrency industry. With its extensive range of crypto products and services, and unwavering commitment to innovation, OKX vision is a world of financial access backed by blockchain and the power of decentralised finance. We invest in our people as much as we invest in the...

  Who We Are: OKX is a world-leading digital asset trading platform, providing advanced financial services to traders globally by using blockchain technology. OKX provides hundreds of token & futures trading pairs to help traders to optimize their strategy. We are also one of the top digital asset trading platforms by trading volume, serving millions of users in over 100 countries. OKX derivatives remains a top-notch venue globally and has a daily volume of approximately $10 billion and is widely recognized as the golden standard in the industry. We believe the blockchain technology will eliminate barriers to transactions, increase the efficiency of transactions across society, and eventually have a significant impact on the global economy. We strive to make innovative achievements that change the world and never stop to improve on our customer experience.   About the Team The Compliance function at OKX is responsible for the overall compliance culture at the...

Interactive Brokers is looking to hire several Compliance Analysts (temps) in its Chicago, Illinois office.  This is an entry-level position with excellent growth potential for highly motivated and exceptional performers.  Analysts will report to a Compliance Manager and will assist with ensuring the firm complies with Bank Secrecy Act, USA PATRIOT Act, anti-terrorist financing, sanctions, industry anti-money laundering, and securities laws and regulations. Day-to-day responsibilities include: Preparing regulatory response letters Gathering customer account records and documents responsive to law enforcement and regulatory inquiries Coordinating with compliance analysts to help complete regulatory investigations Identifying areas for improvement and streamlining current processes and workflows Drafting and updating procedures, as necessary The ideal candidate will have some experience in an internal audit, legal, accounting, or other control function of a financial...

Interactive Brokers is looking to hire a Compliance Analyst in our Trade Surveillance team at the Chicago Office. This is a position with excellent growth potential for highly motivated and exceptional performers with the possibility to turn to a permanent role. Analysts will report to a Compliance Manager and will assist with ensuring the firm complies with Bank Secrecy Act, USA PATRIOT Act, anti-terrorist financing, sanctions, industry AML, and securities laws and regulations. Day-to-day responsibilities include: Conducting reviews of account activity, including trading activity, deposit and withdrawal activity, and public domain activity, to determine if activity is in line with IBKR policy Advising management by collecting, analyzing, and summarizing data and trends.  Preparing regulatory filings Contribute to streamlining current processes and identifying areas for improvement Review trading data for suspicious activity or patterns of unusual trading The ideal...

Interactive Brokers is looking to hire several Regulatory Analysts in its Chicago, Illinois office.  This is an entry-level position with excellent growth potential for highly motivated and exceptional performers.  Analysts will report to a Compliance Manager and will assist with ensuring the firm complies with Bank Secrecy Act, USA PATRIOT Act, anti-terrorist financing, sanctions, industry anti-money laundering, and securities laws and regulations. Day-to-day responsibilities include: Preparing regulatory response letters Gathering customer account records and documents responsive to law enforcement and regulatory inquiries Coordinating with compliance analysts to help complete regulatory investigations Identifying areas for improvement and streamlining current processes and workflows Drafting and updating procedures, as necessary The ideal candidate will have some experience in an internal audit, legal, accounting, or other control function of a financial services...

Interactive Brokers is looking to hire a Compliance Analyst in our office in Chicago, IL. Analysts will report to a Compliance Manager  in our Chicago office and will assist with ensuring the firm complies with Bank Secrecy Act, USA PATRIOT Act, anti-terrorist financing, sanctions, industry AML, and securities laws and regulations. Responsibilities Conducting ongoing review analysis of clients’ KYC profile and transactions in accordance with established procedures in line with IBKR policy Advising management by collecting, analyzing, and summarizing data and trends.  Maintain accurate tracking of assignments and request for documentation to ensure appropriate deadlines are met Contribute to streamlining current processes and identifying areas for improvement Perform negative news and public domain searches on high risk clients and related parties in different categories of EDD   Qualifications The ideal candidate will have some regulatory compliance experience...

Interactive Brokers is looking to hire a Compliance Analyst at the Chicago Office. This is a position with excellent growth potential for highly motivated and exceptional performers. Analysts will report to a Compliance Manager and will assist with ensuring the firm complies with Bank Secrecy Act, USA PATRIOT Act, anti-terrorist financing, sanctions, industry AML, and securities laws and regulations. Day-to-day responsibilities include: Conducting reviews of account activity, including trading activity, deposit and withdrawal activity, and public domain activity, to determine if activity is in line with IBKR policy Advising management by collecting, analyzing, and summarizing data and trends.  Preparing regulatory filings Contribute to streamlining current processes and identifying areas for improvement Review trading data for suspicious activity or patterns of unusual trading The ideal candidate will have 2-5 years regulatory compliance experience working for an...

Interactive Brokers is looking to hire a Senior Compliance Analyst in the EDD team in our office in Chicago, IL. Analysts will report to a Compliance Manager  in our Chicago office and will assist with ensuring the firm complies with Bank Secrecy Act, USA PATRIOT Act, anti-terrorist financing, sanctions, industry AML, and securities laws and regulations. Responsibilities Conducting ongoing review analysis of clients’ KYC profile and transactions in accordance with established procedures in line with IBKR policy Advising management by collecting, analyzing, and summarizing data and trends.  Maintain accurate tracking of assignments and request for documentation to ensure appropriate deadlines are met Contribute to streamlining current processes and identifying areas for improvement Perform negative news and public domain searches on high risk clients and related parties in different categories of EDD   Qualifications The ideal candidate will have some regulatory...

Hello, we’re Starling. We built a new kind of bank because we knew technology had the power to help people save, spend and manage their money in a new and transformative way. We’re a fully licensed UK bank with the culture and spirit of a fast-moving, disruptive tech company.We’re a bank, but better: fairer, easier to use and designed to demystify money for everyone. Since our launch in 2014, we’ve opened over three million accounts and we've been voted Best Current Account Provider five years in a row. We employ more than 2,300 people across our London, Southampton and Cardiff offices and will open our Manchester office in 2023. We're looking for a Risk & Compliance Audit Manager to join our growing Internal Audit team. You'll be responsible to support Internal Audit’s strength, maturity and effectiveness. You will support the Group Head of Internal Audit (SMF5) and deputise for them, and will be expected to present your work to the Executive team and the Board Audit...

UnaVista offers services to customers in the EU as an authorised EMIR Trade Repository (TR) and Approved Reporting Mechanism (ARM) and Approved Publication Arrangement (APA). Reporting to the Director, Head of Compliance Post Trade Solutions, the role will focus on ensuring the compliance of the UnaVista TRADEcho BV services, acting as a contact point for regulators and supporting the business as it grows and adapts to regulatory change.  Enter the key responsibilities of the role: Responsible for monitoring UnaVista’s continuing adherence to applicable regulations and for the relationship with regulators (primarily ESMA). Including through monitoring the regulatory landscape, providing strategic information to the business and implementing compliance controls. Make reports to the UnaVista TRADEcho BV Board and engaging with senior management of UnaVista TRADEcho BV, and the wider business unit, and for representing UnaVista Compliance at internal committees.  Preparing...

Binance is the global blockchain company behind the world’s largest digital asset exchange by trading volume and users, serving a greater mission to accelerate cryptocurrency adoption and increase the freedom of money. Are you looking to be a part of the most influential company in the blockchain industry and contribute to the crypto-currency revolution that is changing the world? We are seeking a project manager to join our global compliance team to support the team in managing various compliance projects in order to improve our framework and ensure we stay in continuous compliance with regulations and internal policy requirements.   Responsibilities: Prepare and maintain project documents (e.g. kick-off, road map, status updates, RAID log, steering committees, gap analysis etc.) to ensure proper control framework Oversee engagement and deployment of vendor solutions globally and work with global compliance managers to set up new processes Coordinate with...

Job Description Senior Manager - Capital Markets Compliance, Securities Role Profile An exciting opportunity exists for an experienced Compliance Senior Manager to join the Capital Markets Compliance team (CMC).  CMC supports the Securities Trading businesses of London Stock Exchange Group (LSEG), providing oversight, guidance and challenge to ensure a robust compliance framework is maintained. The successful candidate will provide advice and guidance on the application of the rules and regulatory requirements that apply to the businesses that CMC supports.  They will provide challenge to the business leads where necessary, ensuring appropriate processes and controls are maintained to meet regulatory requirements.  They will also lead a small team of Compliance professionals to ensure the delivery of high-quality compliance outcomes. The core focus of the role will be to support the London Stock Exchange (LSE) business, providing advice and guidance as the...

Key Responsibilities  The selected candidate will have ownership for: Assisting/providing information for indirect tax filings and tax accounting figures of entities across the globe. Responding to tax compliance advisor queries e.g. analysing information in the GLs, providing descriptions of expenses, preparation of summaries, reconciliations, etc Preparing Tax accounts reconciliations/Blackline Reconciliation Assisting with the preparation and posting of tax journals Assisting with queries from various team including external Auditors. Candidate Profile The ideal candidate should possess the following: A high degree of organization and ability to thrive in a fast-paced environment Possessing a Finance/Accounting/commerce/ degree or professional qualification (CA/CIMA/ACCA) at the intermediary level. Minimum of 1 to 2 years’ experience in tax compliance work or overseas support services would be an added advantage. Hands on experience in Oracle....