87 Mifid Jobs - Page 4

Role Description Operations provides support for all of Deutsche Banks businesses to enable them to deliver transactions and processes to clients. Our people work in established global financial centers such as London, New York, Frankfurt and Singapore, as well as specialist development and service centers in locations including Bucharest, Moscow, Pune, Dublin and Cary. We process payments in excess of a trillion euros across the banks platforms, support thousands of trading desks and enable millions of banking transactions, share trades and emails every day A dynamic and diverse division, our objective is to make sure that all our services are executed in a timely and professional manner, t...

Operations provides support for all of Deutsche Banks businesses to enable them to deliver transactions and processes to clients. Our people work in established global financial centers such as London, New York, Frankfurt and Singapore, as well as specialist development and service centers in locations including Bucharest, Moscow, Pune, Dublin and Cary. We process payments in excess of a trillion euros across the banks platforms, support thousands of trading desks and enable millions of banking transactions, share trades and emails every day A dynamic and diverse division, our objective is to make sure that all our services are executed in a timely and professional manner, that risk is minim...

Operations provides support for all of Deutsche Banks businesses to enable them to deliver transactions and processes to clients. Our people work in established global financial centers such as London, New York, Frankfurt and Singapore, as well as specialist development and service centers in locations including Bucharest, Moscow, Pune, Dublin and Cary. We process payments in excess of a trillion euros across the banks platforms, support thousands of trading desks and enable millions of banking transactions, share trades and emails every day A dynamic and diverse division, our objective is to make sure that all our services are executed in a timely and professional manner, that risk is minim...

Role Description The Know Your Client (KYC) Analyst focuses on client onboarding (COB) and exceptions in line with regulatory standards and jurisdictions. The KYC Analyst provides regular communication to senior bank stakeholders on changes in KYC, Anti Money Laundering (AML) and Anti Financial Crime (AFC) areas and ensures any changes required are implemented with minimum disruptions. The KYC Analyst also assists the banks clients, managing all KYC and account opening requirements with appropriate governance and controls. They operate in an environment of strict adherence to Standard Operating procedures (SOPs) and Operation Level Agreements (OLAs) to achieve accurate and timely account ope...

Role Description The Know Your Client (KYC) Analyst focuses on client onboarding (COB) and exceptions in line with regulatory standards and jurisdictions. The KYC Analyst provides regular communication to senior bank stakeholders on changes in KYC, Anti Money Laundering (AML) and Anti Financial Crime (AFC) areas and ensures any changes required are implemented with minimum disruptions. The KYC Analyst also assists the banks clients, managing all KYC and account opening requirements with appropriate governance and controls. They operate in an environment of strict adherence to Standard Operating procedures (SOPs) and Operation Level Agreements (OLAs) to achieve accurate and timely account ope...

Role Description The Know Your Client (KYC) Analyst focuses on client onboarding (COB) and exceptions in line with regulatory standards and jurisdictions. The KYC Analyst provides regular communication to senior bank stakeholders on changes in KYC, Anti Money Laundering (AML) and Anti Financial Crime (AFC) areas and ensures any changes required are implemented with minimum disruptions. The KYC Analyst also assists the banks clients, managing all KYC and account opening requirements with appropriate governance and controls. They operate in an environment of strict adherence to Standard Operating procedures (SOPs) and Operation Level Agreements (OLAs) to achieve accurate and timely account ope...

Role & responsibilities Reg BA (JD) CMT Trade Reporting team is responsible for change management, analysis, definition and delivery of solutions for business requirements resulting from the introduction of new and updated Trade Reporting rules by the various Global Regulatory Bodies, such as HKMA, MIFID2, CFTC, EMIR, and SFTR, working closely alongside the IT function • The industry remains under increased regulatory pressure across our businesses as these reporting obligations are put into effect; therefore a substantial amount of cross functional change is required, and is coordinated by the CMT Trade Reporting team to ensure bank adhere to regulatory objectives in the most time, cost, co...

The Role: We are looking for a someone who can provide exceptional customer experience to a broad range of clients and ensure the fast and effective management of client workflows to join the S&P Cappitech Support team. The ideal candidate will be comfortable in communicating with clients, answering regulatory queries, and resolving daily reporting issues. Ideally the candidate will have some experience in EMIR, MiFID, ASIC, CFTC, SEC and\or SFTR. The role is client facing and requires a high degree of technical competence. Responsibilities: Dealing with customer enquiries and requests and managing them efficiently and in a timely manner until resolution Helping clients understand how the so...

Responsible for requirements gathering, workflow and gap analysis for Portfolio Solutions projects, focusing on equity/derivatives trade processing, clearing, and reporting Work with global teams and coordinate with trading, ops, risk, and compliance Required Candidate profile Proven experience in investment/trading, OMS (Fidessa pref), use case dev & translating business needs into tech solutions. Skilled in Agile, JIRA, SDLC, testing, data analysis, full trade lifecycle.

Hiring Risk & Compliance Actimize with experience range 3 to 8 Years of experience Skills: KYC,AML, Actimize, Mantas, Client Risk Rating, KYC, Screening, Enhance Due Diligence (EDD) & Customer Due Diligence (CDD), CCAR, Basel III, GDPR, HKMA, MIFID, Bank Secrecy Act, OFAC, UAT Education: Btech/BE, BCA/MCA,Bsc/MSc

Role & responsibilities Monitor tradability controls exception management notifications and provide exception management triage where required across the tradability controls - encompassing EMIR (Risk Mitigation, Reporting and LEI), Dodd Frank (P1, P2 and Reporting), MiFID, SEC, Core Deposits, UCSM, and other regional reporting like HKMA & MAS. Ensure timely resolution of by liaising with Sales, Wholesale Onboarding, Client Regulatory, Legal, and Business Management teams to obtain the missing reference data to ensure regulatory adherence. Prepare and maintain key procedures for BAU tasks according to Barclays policy. To be able to build effective relationships with various stakeholders incl...

Job Title: Regulatory Reporting Operations Analyst Role Description We are seeking a highly motivated and detail-oriented Operations Analyst to join our Regulatory Reporting team. The role involves executing a series of tasks to ensure compliance, accuracy, and efficiency in report preparation and submission. Processor needs to perform several key functions that support and control the business in complying with several regulatory requirements Executing assigned Regulatory Reporting BAU activities. Perform pre-checks to identify and resolve discrepancies in report, ensure 4 eye principles are being followed in the team. Conduct spot checks to ensure document adherence. Maintain accurate and ...