11 Compliance Experience Jobs

As an Assistant Vice President (AVP) Markets Surveillance at Barclays, you will spearhead the evolution of the digital landscape and drive innovation to ensure unparalleled customer experiences. Your role will be based out of Pune. **Role Overview:** You will monitor and analyze market activity for potential signs of abuse or manipulation, ensuring adherence to regulatory requirements and internal policies. Your responsibilities will include: **Key Responsibilities:** - Continuously monitoring market activities, including order flows, prices, trading volumes, and communications to identify potential irregularities or market misconduct. - Conducting in-depth investigations to gather evidence ...

The Team Leader - Quality Team - Due Diligence will be responsible for empower, handle, and lead a high-performance team responsible for client due diligence product delivery and support, train, and mentor onsite and offshore team with on time delivery of due diligence reports. Day to day responsibilities include: Ensure delivery of high-quality services to clients on time and in accordance with LSEG Risk Intelligence's standards and the clients requirements. Develop and implement standard methodologies in delivery of services. Lead team and client delivery quality metrics. Build a motivating and innovative environment to secure the best performance of the teams. Ensure people development th...

As an Accountant with Australian taxation and compliance experience, your role will involve handling various financial tasks related to solar, energy, or international accounting. It is essential for you to possess a Chartered Accountant (CA) or Certified Public Accountant (CPA) certification and have a strong knowledge of Xero and Australian accounting standards. Key Responsibilities: - Manage financial tasks related to Australian taxation and compliance - Handle accounting responsibilities for solar, energy, or international projects - Utilize Xero for financial reporting and analysis Qualifications Required: - Chartered Accountant (CA) or Certified Public Accountant (CPA) certification - ...

As an Enhanced Due Diligence (EDD) Analyst at Interactive Brokers Group, Inc., you play a crucial role in ensuring the firm's compliance with applicable AML laws and regulations. Reporting to the APAC EDD Manager, your responsibilities involve conducting ongoing reviews of client profiles and transactions according to IBKR APAC policy and procedures. It is essential to maintain accurate tracking of assignments and documentation requests to meet deadlines effectively. You also have the opportunity to contribute to streamlining processes, identifying areas for improvement, and performing negative news and public domain searches on high-risk clients and related parties. - Possess regulatory and...

You will be joining Wells Fargo as a Senior Compliance Specialist, where your main responsibilities will include establishing, implementing, and maintaining risk standards and programs to ensure compliance with various legal and regulatory requirements. You will oversee the Front Line's compliance-related decisions, provide monitoring of risk-based compliance programs, and develop standards while providing subject matter expertise in business and functional areas. In this role, you will also offer compliance risk expertise and consulting for projects and initiatives with moderate risk levels for a business line or functional area. You will be responsible for monitoring reporting, escalation,...

DAT is an award-winning employer of choice and a next-generation SaaS technology company that has been at the leading edge of innovation in transportation supply chain logistics for 45 years. We continue to transform the industry year over year, by deploying a suite of software solutions to millions of customers every day - customers who depend on DAT for the most relevant data and most accurate insights to help them make smarter business decisions and run their companies more profitably. We operate the largest marketplace of its kind in North America, with 400 million freights posted in 2022, and a database of $150 billion of annual global shipment market transaction data. Our headquarters ...

DAT is an award-winning employer of choice and a next-generation SaaS technology company that has been at the leading edge of innovation in transportation supply chain logistics for 45 years. We continue to transform the industry year over year, by deploying a suite of software solutions to millions of customers every day - customers who depend on DAT for the most relevant data and most accurate insights to help them make smarter business decisions and run their companies more profitably. We operate the largest marketplace of its kind in North America, with 400 million freights posted in 2022, and a database of $150 billion of annual global shipment market transaction data. Our headquarters ...

Join us as an Assistant Vice President (AVP) Markets Surveillance at Barclays in Pune, where you will play a crucial role in monitoring and analyzing market activity to ensure regulatory compliance and internal policy adherence. Your responsibilities will include identifying irregularities, conducting investigations, supporting market surveillance projects, and providing accurate reports to regulatory authorities and internal stakeholders. To excel in this role, you should possess a proactive approach to problem-solving, the ability to work both independently and in a team, and be willing to take on additional tasks as needed. Your strong communication skills, understanding of market abuse r...

As a Service Design Analyst at FIS, you will play a crucial role in ensuring effective service readiness, compliance, and operational acceptance of new technologies. Your responsibilities will include managing Service Design activities for one or more projects, communicating requirements to support teams, proactively identifying risks, and ensuring that the production support organization can meet business expectations. You will be responsible for organizing workshops, training sessions, and other activities to ensure effective service readiness, knowledge transfer, and support staffing capacity. Additionally, you will participate in internal and external audits, monitor and manage service c...

Job Description: FC Global Services India LLP (First Citizens India), a part of First Citizens BancShares, Inc., a top 20 U.S. financial institution, is a global capability center (GCC) based in Bengaluru. Our India-based teams benefit from the company's over 125-year legacy of strength and stability. First Citizens India is responsible for delivering value and managing risks for our lines of business. We are particularly proud of our strong, relationship-driven culture and our long-term approach, which are deeply ingrained in our talented workforce. This is evident across all key areas of our operations, including Technology, Enterprise Operations, Finance, Cybersecurity, Risk Management, a...

As an Enhanced Due Diligence (EDD) Analyst at Interactive Brokers Group, Inc., you will play a crucial role in ensuring the firm's compliance with applicable AML laws and regulations. Reporting to the APAC EDD Manager, your responsibilities will involve conducting ongoing reviews of client profiles and transactions according to IBKR APAC policy and procedures. It will be essential to maintain accurate tracking of assignments and documentation requests to meet deadlines effectively. Additionally, you will have the opportunity to contribute to streamlining processes and identifying areas for improvement, as well as performing negative news and public domain searches on high-risk clients and re...