Compliance Officer (Client Review) Job at Nicoll Curtin (Zurich)

Compliance Officer – Assistant Manager

Location

Ireland , Dublin

Salary:

Not provided

Waystone Governance Ltd.

Expiration Date

Until further notice

Requirements

Minimum 5 years’ experience in a funds, fund administration, or regulated financial services compliance environment
Strong understanding of regulatory requirements applicable to the funds sector, with particular emphasis on AML/CFT
Experience in the design, implementation, and execution of: Compliance policies and procedures, Compliance monitoring programmes
Relevant compliance, AML, or financial crime qualification
University degree in Business, Law, Governance, or a related discipline, or equivalent professional qualifications or industry experience

Job Responsibility

Interpret and apply applicable laws, regulations, and regulatory guidance, with particular emphasis on AML/CFT requirements, escalating issues where appropriate
Monitor regulatory developments and support the implementation of new or revised regulatory requirements
Provide day‑to‑day compliance support and guidance to internal stakeholders across Operations, Risk, Legal, and other internal functions
Act as a point of contact for day‑to‑day compliance queries, escalating more complex issues as required
Support business initiatives, including new products, outsourcing arrangements, and change projects
Draft, review, and maintain compliance and AML/CFT policies and procedures, ensuring documentation remains accurate and up to date
Support the communication and implementation of policy and procedural updates across the business
Support the execution of the Compliance Monitoring Programme, including thematic reviews, control testing, and ongoing compliance reviews, in line with approved plans
Support the preparation and timely submission of regulatory filings, reports, and responses to regulatory information requests or inspections
Assist in the preparation of compliance reports and materials for senior management, Group Compliance, Risk Committees, and the Board

Fulltime

Officer, Client Onboard Intermediate Analyst, Operations

The Client Onboard Intmd Analyst is a developing professional role. Deals with m...

Location

Japan , Naha

Salary:

Not provided

Citi

Expiration Date

Until further notice

Requirements

2-5 years of experience in Documentation review, Account Maintenance and related Cash products preferred
Demonstrated interpersonal skills, pro-active team player but also able to work independently, with exceptional written and verbal communication skills
Highly motivated, persistent, and able to work in a structured, high volume, time sensitive, high-risk environment
Capable of prioritizing and eager to learn multiple products in a challenging environment
Fast learner, strong attention to detail, and willingness to go extra mile
Proficient in Microsoft Office Applications
Exposure to Client interaction
Consistently demonstrates clear and concise written and verbal communication skills
Proficient in handling urgent and escalation cases and manage client and internal team expectations
Proficient knowledge of English (written and spoken)

Job Responsibility

Responsible for customer interaction, documentation issuance, review and system setups
Focuses on timely and accurate delivery of all account opening functions, as well as delivering superior customer service and resolution of customer issues
Performs day to day management of the account opening and maintenance processing, including daily management of in-process, pended, and service related activities, ensuring account opening requirements are clearly defined to support all scenarios of account opening and maintenance requirements, to include delivery of very high quality service to customers and internal partners
Responsible for various types of project management in the account services space, and managing cross-functional relationships with all teams
Determines new work procedures, analyzes complex and variable issues with significant departmental impact
Ensures consistent delivery of high quality service to customers through meeting or exceeding customer expectation guided by service level agreements and efficiency/accuracy standards
Ensures awareness and full compliance of internal processes, regulations, policies, guidelines, procedures, and practices
Establishes and maintains close working relationship with clients and within team to facilitate an open and direct communication of issues, needs, queries, etc., in such that these may be responded to in an efficient, prompt and professional manner
Embarks on continuous on the job training for end to end product knowledge
Understands client requirements and implement them correctly

Fulltime

Compliance Officer

Serves as a compliance risk analyst for Independent Compliance Risk Management (...

Location

Saudi Arabia , Riyadh

Salary:

Not provided

Citi

Expiration Date

Until further notice

Requirements

Excellent written and verbal communication skills
Must be a self-starter, flexible, innovative and adaptive
Strong interpersonal skills with the ability to work collaboratively and with people at all levels of the organization
Strong project management and organizational skills and capability to handle multiple projects at one time
Proficient in MS Office applications (Excel, Word, PowerPoint)
Some knowledge of Compliance laws, rules, regulations, risks and typologies
Some knowledge in area of focus
Bachelor’s degree
experience in a financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof

Job Responsibility

Assisting and supporting senior staff in the design, development, delivery and maintenance of best-in-class Compliance, programs, policies and practices for ICRM
Reviewing materials to ensure compliance with various regulatory and legal requirements
Identifying potential risks and escalating for further review, as required
Maintaining reports for control, tracking, and analysis purposes and ensuring appropriate and secure retention of documents
Working with more senior staff in investigating and responding to raised compliance risk management issues and preparing routine correspondence
Interacting and working with other areas within ICRM and Citi, as necessary
Assisting in management of the regulatory inventory, regulatory change management process and regulatory exam coordination/logistics as required
Assisting in the preparation, editing and maintenance of Compliance program related materials
Additional duties as assigned
Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency

Fulltime

Quality and Compliance Officer

Compassionate Care Group is a national family-run care provider, bringing the wa...

Location

United Kingdom , Altrincham

Salary:

30000.00 - 35000.00 GBP / Year

360 Resourcing Solutions

Expiration Date

Until further notice

Requirements

Comfortable in managing and meeting KPI's
Ability to execute Quality & Compliance policies/procedures/practices as required
Quality and Compliance focused
Sound Quality and Compliance management skills
Strong verbal and written communication
Excellent active listening, negotiation, and presentation skills
Able to deal with queries in a calm and helpful manner
Creative and innovative thinking
Able to work under own initiative
Ability to build trust and rapport with Quality and Compliance

Job Responsibility

Assisting the Head of Quality and Compliance in ensuring continual compliance, auditing, and understanding of regulatory obligations
Delivery of outcomes described in Compassionate Care's Quality and Governance Framework
Ensuring exceptional person-centered service to clients and anyone entering the business
Ensuring that any quality & compliance activity implemented is comprehensive and reviewed regularly
Identifying and highlighting any areas for improvement
Identifying and raising growth opportunities for the Service
Providing a person-centered approach to anyone who enters the service
Working closely with internal and external colleagues/commissioners to ensure safe and effective operation
Developing thorough understanding of current and future needs
Working with the Quality and Compliance Team to ensure operational delivery

What we offer

Participate in fabulous company events
Robust company pension scheme
Engaging company social events
Access to supportive Employee Assistance Program for personalised counselling and guidance

Fulltime

Compliance Officer - Financial Crime and NCA

An opportunity has arisen for a Compliance Officer to join the Group's Office of...

Location

United Kingdom , Leeds

Salary:

Not provided

DAC Beachcroft

Expiration Date

Until further notice

Requirements

Must be graduate level (or equivalent i.e. have experience in the legal sector)
Previous experience of working in a legal or financial services risk and compliance function is essential
Experience and knowledge of anti-money laundering and sanctions regulations
Good IT skills with a knowledge of Microsoft Office packages
Strong attention to detail
The ability to work on own initiative and manage own workload
Good written and verbal communication skills
Good interpersonal skills
Focused and analytical
Good team player

Job Responsibility

Identification, assessment and management financial crime risks and advising the business on their impact
Escalation of AML, sanctions and other financial crime risks in accordance with internal procedures, supporting the Money Laundering Reporting Officer (MLRO) and Deputy MLROs as required, including preparation for regulatory reviews
Supporting the firm-wide Financial Crime Risk Assessment, ensuring updates reflect regulatory and policy change through horizon scanning and embedding updates into procedures and guidance
Review, verification and analysis of new and existing client information to ensure compliance with AML, sanctions and wider financial crime requirements, meeting agreed quality and productivity targets
Conducting comprehensive client due diligence (CDD), including identification and verification of corporate structures and ultimate beneficial owners
Liaising with Fee Earners and Partners to obtain additional information, provide advice on onboarding requirements, and support discussions with prospective clients
Performance of ongoing and periodic client monitoring, including daily screening reviews and scheduled CDD refreshes
Assisting with responses to client and supplier due diligence questionnaires and regulatory or audit data requests, including SRA thematic reviews
Supporting the effective use and continuous improvement of financial crime onboarding and screening systems and tools
Contribution to financial crime working groups and wider OGC discussions to support best practice and continuous improvement

Fulltime

Risk and Compliance Officer

At Paymentology, we’re redefining what’s possible in the payments space. As the ...

Location

South Africa , Johannesburg

Salary:

Not provided

Paymentology

Expiration Date

Until further notice

Requirements

4–6 years’ experience in compliance, financial crime, risk management, or related roles within banking, payments, fintech, or another regulated environment
Strong knowledge of South African regulatory frameworks (e.g. FIC Act, NPS Bill), particularly AML, CFT, KYC/KYB, and risk management
Practical experience in risk assessments, compliance monitoring, issue management, and remediation
Familiarity with international financial crime frameworks (FATF, EU AML Directives, OFAC) preferred
Experience with compliance tools (e.g. sanctions screening, AML monitoring, GRC systems) preferred
Proven experience implementing RMCPs and conducting due diligence and policy rollouts
Excellent written and verbal communication skills in English
Strong proficiency in Microsoft Office (especially Excel and PowerPoint) and a willingness to leverage AI tools for efficiency
Strong stakeholder management and ability to operate effectively in complex, ambiguous environments
Ability to translate regulatory requirements into practical, operational controls

Job Responsibility

Act as the primary compliance contact for Sponsor banks, supporting day-to-day operation of Paymentology’s local compliance framework
Interpret and implement partner banks’ Risk Management and Compliance Programme (RMCP) requirements, ensuring alignment with applicable legislation and regulatory frameworks
Conduct and oversee KYC and KYB processes for cardholders, corporate clients, and partners, including onboarding, beneficial ownership verification, sanctions, PEP, and adverse media screening
Lead onboarding risk assessments in line with global standards and risk appetite, including enhanced due diligence where required
Perform periodic reviews (monitoring & testing) to assess compliance and risk programme effectiveness and identify improvements
Maintain accurate compliance records and prepare clear, structured reports for senior management, clients, and regulators
Support documentation requests to demonstrate the effectiveness of compliance controls
Support the development and embedding of a structured risk management framework for South Africa
Identify, assess, document, and monitor key risks across compliance, operational, third-party, resilience, and regulatory domains
Contribute to the implementation of a proactive Enterprise Risk Management (ERM) framework

Fulltime

Compliance Officer

You will join Credit Agricole CIB Spain. You will support the compliance (CPL) d...

Location

Spain , MADRID

Salary:

Not provided

Crédit Agricole

Expiration Date

Until further notice

Requirements

Be less than 28 years
Be graduated of Master Degree
Be EU citizens – EXCEPT Spanish
Postgraduate of a Master degree from an University, a Business School with a specialization in Compliance
Good knowledge of MS Office tools
Ability to communicate technical information
Fluent English is required

Job Responsibility

Compliance Annual Control Plan: Assist and perform controls related to AML issues, Sanctions, Capital Markets activities, GDPR, Conflicts of Interest, Fraud and Corruption and Transversal CPL topics. Specific focus on Trade Finance controls
Global Markets Division activity monitoring (Margin controls, HRR)
Support the LCO on local and HO projects
Mandatory e-learning follow-up: Support on local training initiatives
Transaction Filtering Alert Management
Alert treatment on AML (Sonar tool)
Knowledge on internal GT and procedures
Support on issuance on FS opinion on clients (KYC process, adverse information research)
Follow up on external and internal audits
Follow up on NAP/NAC and NSU process

Fulltime

Senior Compliance Officer

This is an exciting opportunity to join our dynamic RBC BlueBay Compliance Advis...

Location

United Kingdom , London

Salary:

Not provided

Brewin Dolphin

Expiration Date

Until further notice

Requirements

Expertise in UK, EU and US regulations relevant to asset management
Expertise in the investment fund industry, including proven experience with UCITS and Alternative products
Strong knowledge of investment compliance, including investment borrowing limits, portfolio compliance monitoring, and fund restriction management
Demonstrable experience with conflicts clearance processes and managing conflicts of interest in an investment management environment
Proven experience with wall-crossing procedures, managing restricted lists, and handling material non-public information in accordance with market abuse regulations
Expertise in UK/EU regulatory environments, and FCA Handbook rules
Minimum of 5 years of experience in a role requiring knowledge of UK, EU and SEC regulation and legislation applicable to Asset Management
Excellent attention to detail and organizational abilities
Strong work ethic, positive, pro-active and adaptable attitude
Strong interpersonal and communication skills

Job Responsibility

Provide expert regulatory advice UK/EU UCITS and Alternatives funds
Provide expert regulatory advice on US 40 Act Funds
Support the compliance team in maintaining the Restricted List of issuers on which BlueBay may hold inside information, including managing wall-crossing, pre-sounding of new issues, review of Investment Management Agreements and Confidentiality Agreements
Complete periodic compliance certifications for clients in accordance with IMA reporting obligations
Conduct conflict checks on potential investment opportunities and escalate identified conflicts to the line manager for discussion and resolution
Provide advice on ESG, Responsible Investment and Taxonomy matters
Drive the alignment and integration with enterprise standards
Drive efficiencies and enhancements to existing Compliance controls and framework
Development, review and maintenance of robust Compliance Policies and Procedures for RBC BlueBay UK
Assist with the delivery of Compliance Management Information for periodic reports to the Board and Committees

What we offer

Bonuses
Flexible benefits
Competitive compensation
Leaders who support your development through coaching and managing opportunities
Opportunities to work with the best in the field
Ability to make a difference and lasting impact
Work in a dynamic, collaborative, progressive, and high-performing team
A world-class training program in financial services
Flexible working options fully supported

Fulltime

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Compliance Officer (Client Review)

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