Most recent job postings at NatWest
via CareerBuilder
posted_at: 7 days agoschedule_type: Part-time
Join us in Paris as a Human Resources Business Partner
• This is an opportunity for an experienced leader to embark on an exciting new career challenge
• You'll be uniquely placed to grow a broad professional network as you work with stakeholders of varying degrees of seniority...
• It's a chance to have a tangible effect on our European business, hone your skillset, and advance your career in a diverse and inclusive environment
What you'll
Join us in Paris as a Human Resources Business Partner
• This is an opportunity for an experienced leader to embark on an exciting new career challenge
• You'll be uniquely placed to grow a broad professional network as you work with stakeholders of varying degrees of seniority...
• It's a chance to have a tangible effect on our European business, hone your skillset, and advance your career in a diverse and inclusive environment
What you'll do
As a member of our HR leadership team for NatWest Europe, you'll be responsible for shaping and influencing the HR and business strategy for our French financial service operations.
You'll be a key interface between our HR function and your business area, working with your stakeholders to translate NatWest Group's strategy and implement this across your business. You'll also guide and deliver our people strategy across your business too, along with a robust HR service catalogue that reflects your business' priorities.
Your top priorities will include:
• Developing people plans to deliver a HR service catalogue
• Supporting leaders through expert advice, counsel, diagnostic analysis and decision-making regarding people plans and strategy
• Advising on people strategy, organisational design and change, engagement and culture, talent and succession, reward and performance management and capability and workforce planning
• Embedding people measures, identifying trends and making recommendations to drive employee engagement levels
The skills you'll need
With experience in the French financial services as an HR Business Partner, you'll combine employee relations and relationship management experience with extensive knowledge of HR theories, models and practices.
You'll also need:
• Fluency in French
• Good communications skills
• Experience of operational and financial planning
• A track record of leading diverse professional teams
Hours
40
Job Posting Closing Date:
14/04/2023 Show more details...
• This is an opportunity for an experienced leader to embark on an exciting new career challenge
• You'll be uniquely placed to grow a broad professional network as you work with stakeholders of varying degrees of seniority...
• It's a chance to have a tangible effect on our European business, hone your skillset, and advance your career in a diverse and inclusive environment
What you'll do
As a member of our HR leadership team for NatWest Europe, you'll be responsible for shaping and influencing the HR and business strategy for our French financial service operations.
You'll be a key interface between our HR function and your business area, working with your stakeholders to translate NatWest Group's strategy and implement this across your business. You'll also guide and deliver our people strategy across your business too, along with a robust HR service catalogue that reflects your business' priorities.
Your top priorities will include:
• Developing people plans to deliver a HR service catalogue
• Supporting leaders through expert advice, counsel, diagnostic analysis and decision-making regarding people plans and strategy
• Advising on people strategy, organisational design and change, engagement and culture, talent and succession, reward and performance management and capability and workforce planning
• Embedding people measures, identifying trends and making recommendations to drive employee engagement levels
The skills you'll need
With experience in the French financial services as an HR Business Partner, you'll combine employee relations and relationship management experience with extensive knowledge of HR theories, models and practices.
You'll also need:
• Fluency in French
• Good communications skills
• Experience of operational and financial planning
• A track record of leading diverse professional teams
Hours
40
Job Posting Closing Date:
14/04/2023 Show more details...
via ZipRecruiter
schedule_type: Full-time
This job description is intended to describe the general requirements for the position. It is not a complete statement of duties, responsibilities or requirements of the role. Other duties not listed here may be assigned as necessary to ensure the proper operations of the department and the business.
Your team...
The NatWest Markets Client Services team is accountable for improving our customer experience and control environment through oversight
This job description is intended to describe the general requirements for the position. It is not a complete statement of duties, responsibilities or requirements of the role. Other duties not listed here may be assigned as necessary to ensure the proper operations of the department and the business.
Your team...
The NatWest Markets Client Services team is accountable for improving our customer experience and control environment through oversight of the processes impacting customers across the Client Lifecycle. The team is part of our First Line of Defense, directly interacting with business, clients and global execution teams to ensure sound operation of Financial Crime and other Client Lifecycle Controls. NatWest Markets has created an opportunity for an organized and detail-oriented person to learn the skills that will help deliver these outcomes.
Your role
Do you enjoy working on a collaborative team to provide strong customer service to both internal and external clients in a well-controlled environment?
This opportunity will focus on three main areas of accountability:
Client Onboarding Prioritization Process:
• Liaise with US Sales and global execution teams to prioritize and manage case pipeline. Ultimately, work with Stamford leads and business to ensure that any client requirements are delivered in time and cases are completed ahead of settlement
• Assist in management and development of metrics and reporting required to ensure Client Onboarding process is operating effectively
Financial Crime and Supervision Control Operation:
• Understand NatWest Markets Customer Due Diligence requirements and related procedures
• Assess customer files and provide sign-off, escalating with justification to team leads when necessary (e.g., related to High Risk clients, requirement waivers, escalations, PEP declassifications, etc.)
• Support individual supervisory controls designed to oversee activities performed by our global support teams, or to ensure key control points during the client lifecycle are operating effectively
• Work with global execution teams and central Control leads to refine processes and improve procedure documentation
Support of other Client Operations responsibilities
• Manage client communication as an output of control processes, remedial activities, returned statements, etc.
• Support customer data setups specific to our US business or related to global end of day trading
Your experience
• Attention to detail, strong work ethic, good humor and enthusiasm for tackling complex challenges
• Ability to drive multiple projects simultaneously, with effective resolution of competing priorities
• Advanced technical skills using Microsoft Office
• Willingness to seek input from team leads and to appropriately manage escalations
• Preferred: familiarity with CDD, KYC and Financial Crime standards along with 1 year experience in investment banking operations, compliance or law
• FINRA Series 99 eligible
The expected base annual salary range for this position is $50,000 - $70,000 at the start of employment. This is not a guarantee of compensation. The exact compensation is determined on an individualized basis and may vary based on skills, experience, training licensure, certifications and location. In addition to base salary, our total rewards package also includes eligibility for an annual discretionary bonus; medical, dental, and vision plans; life and disability insurance; employee wellness programs; retirement and savings plans with potential employer contributions; generous paid time off policy, parental leave and tuition reimbursement.
It is the policy of NatWest Markets Securities Inc. and its parent, affiliates and/or subsidiaries to provide equal employment and advancement opportunities to all colleagues and applicants for employment without regard to race, color, ethnicity, religion, gender, sex, pregnancy/childbirth, age, national origin, sexual orientation, gender identity or expression, disability or perceived disability, genetic information, citizenship, veteran or military status, marital or domestic partner status, or any other category protected by federal, state and/or local laws. Equal Opportunity Employer -Disabled/Veteran - review "EEO Is The Law", "EEO is the law- Supplement" & "Pay Transparency Provision" posters here.
Hours
40
Job Posting Closing Date:
02/04/2023 Show more details...
Your team...
The NatWest Markets Client Services team is accountable for improving our customer experience and control environment through oversight of the processes impacting customers across the Client Lifecycle. The team is part of our First Line of Defense, directly interacting with business, clients and global execution teams to ensure sound operation of Financial Crime and other Client Lifecycle Controls. NatWest Markets has created an opportunity for an organized and detail-oriented person to learn the skills that will help deliver these outcomes.
Your role
Do you enjoy working on a collaborative team to provide strong customer service to both internal and external clients in a well-controlled environment?
This opportunity will focus on three main areas of accountability:
Client Onboarding Prioritization Process:
• Liaise with US Sales and global execution teams to prioritize and manage case pipeline. Ultimately, work with Stamford leads and business to ensure that any client requirements are delivered in time and cases are completed ahead of settlement
• Assist in management and development of metrics and reporting required to ensure Client Onboarding process is operating effectively
Financial Crime and Supervision Control Operation:
• Understand NatWest Markets Customer Due Diligence requirements and related procedures
• Assess customer files and provide sign-off, escalating with justification to team leads when necessary (e.g., related to High Risk clients, requirement waivers, escalations, PEP declassifications, etc.)
• Support individual supervisory controls designed to oversee activities performed by our global support teams, or to ensure key control points during the client lifecycle are operating effectively
• Work with global execution teams and central Control leads to refine processes and improve procedure documentation
Support of other Client Operations responsibilities
• Manage client communication as an output of control processes, remedial activities, returned statements, etc.
• Support customer data setups specific to our US business or related to global end of day trading
Your experience
• Attention to detail, strong work ethic, good humor and enthusiasm for tackling complex challenges
• Ability to drive multiple projects simultaneously, with effective resolution of competing priorities
• Advanced technical skills using Microsoft Office
• Willingness to seek input from team leads and to appropriately manage escalations
• Preferred: familiarity with CDD, KYC and Financial Crime standards along with 1 year experience in investment banking operations, compliance or law
• FINRA Series 99 eligible
The expected base annual salary range for this position is $50,000 - $70,000 at the start of employment. This is not a guarantee of compensation. The exact compensation is determined on an individualized basis and may vary based on skills, experience, training licensure, certifications and location. In addition to base salary, our total rewards package also includes eligibility for an annual discretionary bonus; medical, dental, and vision plans; life and disability insurance; employee wellness programs; retirement and savings plans with potential employer contributions; generous paid time off policy, parental leave and tuition reimbursement.
It is the policy of NatWest Markets Securities Inc. and its parent, affiliates and/or subsidiaries to provide equal employment and advancement opportunities to all colleagues and applicants for employment without regard to race, color, ethnicity, religion, gender, sex, pregnancy/childbirth, age, national origin, sexual orientation, gender identity or expression, disability or perceived disability, genetic information, citizenship, veteran or military status, marital or domestic partner status, or any other category protected by federal, state and/or local laws. Equal Opportunity Employer -Disabled/Veteran - review "EEO Is The Law", "EEO is the law- Supplement" & "Pay Transparency Provision" posters here.
Hours
40
Job Posting Closing Date:
02/04/2023 Show more details...
via CareerBuilder
posted_at: 2 days agoschedule_type: Full-time
This job description is intended to describe the general requirements for the position. It is not a complete statement of duties, responsibilities or requirements of the role. Other duties not listed here may beassigned as necessary to ensure the proper operations of the department and the business.The Senior Monitoring and Testing Compliance Assurance Officer reporting directly to the NWM US Chief Compliance Officer will lead the Compliance Assurance
This job description is intended to describe the general requirements for the position. It is not a complete statement of duties, responsibilities or requirements of the role. Other duties not listed here may beassigned as necessary to ensure the proper operations of the department and the business.The Senior Monitoring and Testing Compliance Assurance Officer reporting directly to the NWM US Chief Compliance Officer will lead the Compliance Assurance team responsible for assessing compliance risks and controls implemented by the first and second lines of defense. The candidate will work with the CCO on the design of an effective Compliance Assurance testing program and will be responsible to lead the program monitoring and assurance reviews to identify potential breaches of Regulatory Obligations and Corporate Compliance policies, as well as to ascertain whether key controls that are in place to mitigate the risk of non-compliance with Compliance Risk continue to operate effectively... The Compliance Assurance Officer will also be responsible for reporting and escalating controls issues and any violations of laws or breaches of policy; and validating adequacy of remediation taken to address reported issues.Key Responsibilities:•Develop, implement and oversee the NWM, US Compliance Assurance Monitoring and Testing Plan.•Lead the Compliance Assurance function to execute high quality assurance reviews across relevant areas of the business and support functions to identify, manage and mitigate risks in relation to core activities in accordance with regulatory requirements and NWM Risk Profile to achieve the right customer outcomes.•Responsible for the preparing and presenting formal written reports to senior management.•Report and escalate control issues and any violations of laws or breaches of policy; and validating adequacy of remediation taken to address reported issues.•Actively consider the inherent and material risks of the business and support functions to ensure risks are appropriately identified, assessed and mitigated to the desired risk appetite.•Maintain strong stakeholder engagement with the business and support functions by building ongoing relationships to promote the Assurance methodology and engender a collaborative and transparent culture of compliance.•Actively participate in the annual rules-based risk assessment process.•Keep current with industry specific emerging risks, trends and issues across the industry.Education and Experience:10+ years of global compliance and audit related experience, and strong knowledge of business processes and IT technologies utilized in the broker-dealer securities business.Strong knowledge of securities products and compliance including knowledge of FINRA, SEC, CFTC, DTCC and NFA regulation.Excellent communication skills in interacting with non-executives, executive management, regulators, and across a number of business lines and control functionsProven track record in the preparation and presentation of formal written reports to senior management.Experience managing and providing strategic direction to a diverse teams.Strong organization, written, verbal and presentation skills.Willingness to take on additional duties as necessary.Proficient in the use of technology.BA/BS required.MBA a plus.The expected base annual salary range for this position is $160,000 - $225,000 at the start of employment. This is not a guarantee of compensation. The exact compensation is determined on an individualized basis and may vary based on skills, experience, training licensure, certifications and location. In addition to base salary, our total rewards package also includes eligibility for an annual discretionary bonus; medical, dental, and vision plans; life and disability insurance; employee wellness programs; retirement and savings plans with potential employer contributions; generous paid time off policy, parental leave and tuition reimbursement.It is the policy of NatWest Markets Securities Inc. and its parent, affiliates and/or subsidiaries to provide equal employment and advancement opportunities to all colleagues and applicants for employment without regard to race, color, ethnicity, religion, gender, sex, pregnancy/childbirth, age, national origin, sexual orientation, gender identity or expression, disability or perceived disability, genetic information, citizenship, veteran or military status, marital or domestic partner status, or any other category protected by federal, state and/or local laws. Equal Opportunity Employer -Disabled/Veteran - review "EEO Is The Law", "EEO is the law- Supplement" & "Pay Transparency Provision" posters hereHours40Job Posting Closing Date:04/02/2023
Show more details...
via BeBee
posted_at: 5 days agoschedule_type: Full-time
This job description is intended to describe the general requirements for the position. It is not a complete statement of duties, responsibilities or requirements of the role. Other duties not listed here may be
assigned as necessary to ensure the proper operations of the department and the business
...
Purpose of role:
The Natwest Markets US Middle Office supports the US Trading, Customer Sales and Capital Markets business areas.
The team performs
This job description is intended to describe the general requirements for the position. It is not a complete statement of duties, responsibilities or requirements of the role. Other duties not listed here may be
assigned as necessary to ensure the proper operations of the department and the business
...
Purpose of role:
The Natwest Markets US Middle Office supports the US Trading, Customer Sales and Capital Markets business areas.
The team performs activities including:
transaction control, managing client and sales queries, broker and trading queries, US Treasury auctions, regulatory reporting support and reconciliation controls.
The primary functions of the role are to perform supervision and training of offshored functions and the daily operation of key controls.
In addition, you'll be providing trade support for the regional Fixed Income trading desks across an array of products.
The team has an opportunity for a highly motivated person with investment banking operations expertise in US Treasuries, Corporate bonds and futures to join the team.
Your Role:
Work closely with traders, salespeople, and operations teams to provide the highest level of operational support for our customers, both regionally and globally.
Utilize your subject matter expertise in investment banking operations to train and support local and global teams to meet service levels and stakeholder expectations.
Perform supervision of our offshore team by overseeing reconciliations, trade allocations and other time-sensitive activities to ensure accurate and timely output.
Effectively manage key relationships and work closely with regional and global teams across the organization including front office, operations, compliance, finance, and technology.
Maintain and update documentation of all procedures, processes and key controls.
Ensure accurate regulatory reporting (FINRA TRACE and other reporting requirements) to ensure compliance with all applicable rules and regulations.
Design and compile metrics for KRIs and KPIs. Analyze data and deliver better ways to improve operational performance for onshore and offshore teams.
Develop operational and product skills and build personal knowledge through training and coaching.
Identify control gaps and efficiency barriers to develop new ways of working, improvement of controls and deliver cost-efficient solutions. Ensure the timely escalation of potential risk and control issues.
Perform and deliver project work in collaboration with other teams, regionally and globally, to align with the bank's strategy.
Skills and Experience 5+ years of experience in a buy-side or sell-side banking operations role is preferred.
Extremely detail oriented, hard-worker, positive attitude and enthusiasm for solving complex problems.
Proficiency and strong understanding of Fixed Income products (US Treasuries, Corporate bonds) and OTC products (swaps, swaptions, some exotics), exchange traded derivatives.
Demonstrated supervision experience of operational activities, third party and/or offshore supervision experience a definite plus.
Expert-level understanding of fixed income trade lifecycle and front to back operations processes including key elements of trade capture, reconciliations, and regulatory reporting requirements.
Adaptability to learn new tasks and demonstrate a willingness to understand the details of a process.
Strong technical skills with understanding of the basics of bond math, Excel and relevant industry systems, experience with FINRA TRAQS and Bloomberg is a definite plus.
Demonstrated ability to work within a team and collaborate across business areas.
The expected base annual salary range for this position is $75,000 - $120,000 at the start of employment. This is not a guarantee of compensation.
The exact compensation is determined on an individualized basis and may vary based on skills, experience, training licensure, certifications and location.
In addition to base salary, our total rewards package also includes eligibility for an annual discretionary bonus; medical, dental, and vision plans; life and disability insurance; employee wellness programs; retirement and savings plans with potential employer contributions; generous paid time off policy, parental leave and tuition reimbursement.
It is the policy of NatWest Markets Securities Inc.
and its parent, affiliates and/or subsidiaries to provide equal employment and advancement opportunities to all colleagues and applicants for employment without regard to race, color, ethnicity, religion, gender, sex, pregnancy/childbirth, age, national origin, sexual orientation, gender identity or expression, disability or perceived disability, genetic information, citizenship, veteran or military status, marital or domestic partner status, or any other category protected by federal, state and/or local laws.
Equal Opportunity Employer -Disabled/Veteran - review "EEO Is The Law", "EEO is the law- Supplement" & "Pay Transparency Provision" posters here.
Hours
40
Job Posting Closing Date:
31/03/2023 Show more details...
assigned as necessary to ensure the proper operations of the department and the business
...
Purpose of role:
The Natwest Markets US Middle Office supports the US Trading, Customer Sales and Capital Markets business areas.
The team performs activities including:
transaction control, managing client and sales queries, broker and trading queries, US Treasury auctions, regulatory reporting support and reconciliation controls.
The primary functions of the role are to perform supervision and training of offshored functions and the daily operation of key controls.
In addition, you'll be providing trade support for the regional Fixed Income trading desks across an array of products.
The team has an opportunity for a highly motivated person with investment banking operations expertise in US Treasuries, Corporate bonds and futures to join the team.
Your Role:
Work closely with traders, salespeople, and operations teams to provide the highest level of operational support for our customers, both regionally and globally.
Utilize your subject matter expertise in investment banking operations to train and support local and global teams to meet service levels and stakeholder expectations.
Perform supervision of our offshore team by overseeing reconciliations, trade allocations and other time-sensitive activities to ensure accurate and timely output.
Effectively manage key relationships and work closely with regional and global teams across the organization including front office, operations, compliance, finance, and technology.
Maintain and update documentation of all procedures, processes and key controls.
Ensure accurate regulatory reporting (FINRA TRACE and other reporting requirements) to ensure compliance with all applicable rules and regulations.
Design and compile metrics for KRIs and KPIs. Analyze data and deliver better ways to improve operational performance for onshore and offshore teams.
Develop operational and product skills and build personal knowledge through training and coaching.
Identify control gaps and efficiency barriers to develop new ways of working, improvement of controls and deliver cost-efficient solutions. Ensure the timely escalation of potential risk and control issues.
Perform and deliver project work in collaboration with other teams, regionally and globally, to align with the bank's strategy.
Skills and Experience 5+ years of experience in a buy-side or sell-side banking operations role is preferred.
Extremely detail oriented, hard-worker, positive attitude and enthusiasm for solving complex problems.
Proficiency and strong understanding of Fixed Income products (US Treasuries, Corporate bonds) and OTC products (swaps, swaptions, some exotics), exchange traded derivatives.
Demonstrated supervision experience of operational activities, third party and/or offshore supervision experience a definite plus.
Expert-level understanding of fixed income trade lifecycle and front to back operations processes including key elements of trade capture, reconciliations, and regulatory reporting requirements.
Adaptability to learn new tasks and demonstrate a willingness to understand the details of a process.
Strong technical skills with understanding of the basics of bond math, Excel and relevant industry systems, experience with FINRA TRAQS and Bloomberg is a definite plus.
Demonstrated ability to work within a team and collaborate across business areas.
The expected base annual salary range for this position is $75,000 - $120,000 at the start of employment. This is not a guarantee of compensation.
The exact compensation is determined on an individualized basis and may vary based on skills, experience, training licensure, certifications and location.
In addition to base salary, our total rewards package also includes eligibility for an annual discretionary bonus; medical, dental, and vision plans; life and disability insurance; employee wellness programs; retirement and savings plans with potential employer contributions; generous paid time off policy, parental leave and tuition reimbursement.
It is the policy of NatWest Markets Securities Inc.
and its parent, affiliates and/or subsidiaries to provide equal employment and advancement opportunities to all colleagues and applicants for employment without regard to race, color, ethnicity, religion, gender, sex, pregnancy/childbirth, age, national origin, sexual orientation, gender identity or expression, disability or perceived disability, genetic information, citizenship, veteran or military status, marital or domestic partner status, or any other category protected by federal, state and/or local laws.
Equal Opportunity Employer -Disabled/Veteran - review "EEO Is The Law", "EEO is the law- Supplement" & "Pay Transparency Provision" posters here.
Hours
40
Job Posting Closing Date:
31/03/2023 Show more details...
via ZipRecruiter
posted_at: 4 days agoschedule_type: Full-time
This job description is intended to describe the general requirements for the position. It is not a complete statement of duties, responsibilities or requirements of the role. Other duties not listed here may be assigned as necessary to ensure the proper operations of the department and the business.
Functional Overview...
The Financial Crime team seeks to combat financial crime and the misuse of our assets and systems by criminals. The team takes
This job description is intended to describe the general requirements for the position. It is not a complete statement of duties, responsibilities or requirements of the role. Other duties not listed here may be assigned as necessary to ensure the proper operations of the department and the business.
Functional Overview...
The Financial Crime team seeks to combat financial crime and the misuse of our assets and systems by criminals. The team takes a proactive approach to assure compliance with the Bank Secrecy Act and other applicable rules and regulations.
Role Summary and Responsibilities:
The primary focus of the Financial Crime Transaction Monitoring Associate is to oversee all aspects of broker-dealer transaction based monitoring to assure compliance with the Bank Secrecy Act and other applicable rules and regulations. In conjunction with the above referenced responsibilities, this position requires investigative and suspicious activity report (SAR) drafting skills.
In addition, the Financial Crime Advisory Associate will assist in the annual AML risk assessment process and control testing:
• Transaction Monitoring:
• Experience in transaction monitoring, preferably for a broker/dealer;
• Experience in utilizing research/investigative databases and software application to analyze and detect transaction patterns and trends (Knowledge of Quantexa is a plus);
• Drafting of SARs;
• Conducts expected activity reviews of higher risk customers; and
• In depth knowledge of BSA/AML Regulations and PATRIOT ACT; well versed in AML and Terrorist Financing emerging trends.
Financial Crime Compliance:
• Participates in the annual AML risk assessment process;
• Provides AML training to other staff as required and assists in the administration of compliance training programs;
• Reviews and resolves potential matches originated from 314a and 314b information requests;
• Assists in the review and updating of AML policies and procedures;
• Test controls and assist is providing oversight of operational functions; and
• Assists in transaction monitoring audit and regulatory reviews.
Role Qualifications:
• 3 to 5 years' experience
• BS/BA required
• Detailed knowledge / subject matter expertise of AML rules and regulations
• Attention to detail with a strong work ethic
• CAMS certification is a plus
• JD is a plus
The expected base annual salary range for this position is $95,000 - $132,000 at the start of employment. This is not a guarantee of compensation. The exact compensation is determined on an individualized basis and may vary based on skills, experience, training licensure, certifications and location. In addition to base salary, our total rewards package also includes eligibility for an annual discretionary bonus; medical, dental, and vision plans; life and disability insurance; employee wellness programs; retirement and savings plans with potential employer contributions; generous paid time off policy, parental leave and tuition reimbursement.
It is the policy of NatWest Markets Securities Inc. and its parent, affiliates and/or subsidiaries to provide equal employment and advancement opportunities to all colleagues and applicants for employment without regard to race, color, ethnicity, religion, gender, sex, pregnancy/childbirth, age, national origin, sexual orientation, gender identity or expression, disability or perceived disability, genetic information, citizenship, veteran or military status, marital or domestic partner status, or any other category protected by federal, state and/or local laws. Equal Opportunity Employer -Disabled/Veteran - review "EEO Is The Law", "EEO is the law- Supplement" & "Pay Transparency Provision" posters here.
Hours
40
Job Posting Closing Date:
04/05/2023 Show more details...
Functional Overview...
The Financial Crime team seeks to combat financial crime and the misuse of our assets and systems by criminals. The team takes a proactive approach to assure compliance with the Bank Secrecy Act and other applicable rules and regulations.
Role Summary and Responsibilities:
The primary focus of the Financial Crime Transaction Monitoring Associate is to oversee all aspects of broker-dealer transaction based monitoring to assure compliance with the Bank Secrecy Act and other applicable rules and regulations. In conjunction with the above referenced responsibilities, this position requires investigative and suspicious activity report (SAR) drafting skills.
In addition, the Financial Crime Advisory Associate will assist in the annual AML risk assessment process and control testing:
• Transaction Monitoring:
• Experience in transaction monitoring, preferably for a broker/dealer;
• Experience in utilizing research/investigative databases and software application to analyze and detect transaction patterns and trends (Knowledge of Quantexa is a plus);
• Drafting of SARs;
• Conducts expected activity reviews of higher risk customers; and
• In depth knowledge of BSA/AML Regulations and PATRIOT ACT; well versed in AML and Terrorist Financing emerging trends.
Financial Crime Compliance:
• Participates in the annual AML risk assessment process;
• Provides AML training to other staff as required and assists in the administration of compliance training programs;
• Reviews and resolves potential matches originated from 314a and 314b information requests;
• Assists in the review and updating of AML policies and procedures;
• Test controls and assist is providing oversight of operational functions; and
• Assists in transaction monitoring audit and regulatory reviews.
Role Qualifications:
• 3 to 5 years' experience
• BS/BA required
• Detailed knowledge / subject matter expertise of AML rules and regulations
• Attention to detail with a strong work ethic
• CAMS certification is a plus
• JD is a plus
The expected base annual salary range for this position is $95,000 - $132,000 at the start of employment. This is not a guarantee of compensation. The exact compensation is determined on an individualized basis and may vary based on skills, experience, training licensure, certifications and location. In addition to base salary, our total rewards package also includes eligibility for an annual discretionary bonus; medical, dental, and vision plans; life and disability insurance; employee wellness programs; retirement and savings plans with potential employer contributions; generous paid time off policy, parental leave and tuition reimbursement.
It is the policy of NatWest Markets Securities Inc. and its parent, affiliates and/or subsidiaries to provide equal employment and advancement opportunities to all colleagues and applicants for employment without regard to race, color, ethnicity, religion, gender, sex, pregnancy/childbirth, age, national origin, sexual orientation, gender identity or expression, disability or perceived disability, genetic information, citizenship, veteran or military status, marital or domestic partner status, or any other category protected by federal, state and/or local laws. Equal Opportunity Employer -Disabled/Veteran - review "EEO Is The Law", "EEO is the law- Supplement" & "Pay Transparency Provision" posters here.
Hours
40
Job Posting Closing Date:
04/05/2023 Show more details...
via ZipRecruiter
posted_at: 4 days agoschedule_type: Full-time
This job description is intended to describe the general requirements for the position. It is not a complete statement of duties, responsibilities or requirements of the role. Other duties not listed here may be assigned as necessary to ensure the proper operations of the department and the business.
Role Summary: The purpose of this role is to implement the global Rates strategy of the... franchise and to deliver long term sustainable value and
This job description is intended to describe the general requirements for the position. It is not a complete statement of duties, responsibilities or requirements of the role. Other duties not listed here may be assigned as necessary to ensure the proper operations of the department and the business.
Role Summary: The purpose of this role is to implement the global Rates strategy of the... franchise and to deliver long term sustainable value and positive customer outcomes
Role Responsibilities:
• Develop and implement target client acquisition, penetration and product plans for product / region and client base
• Work with Rates trading, Rates Voice Sales and Client Services to develop best in class solutions to meet client needs
• Increase client connectivity through strategy, communication and client engagement
• Drive communication between the US and London based Rates sales, trading and client service teams
• Proactive identification and escalation of conduct risk to deliver key customer outcomes
• Role model behaviours in line with the NWM Policy Framework
Role Requirements:
• Proven knowledge of relevant products
• Demonstrated ability to work collaboratively with stakeholders and counterparts and senior client relationships, including Real Money and Hedge Fund Portfolio Managers
• Derivative skills
• Broad understanding of macro-economics
• Ability to understand and manage core risks of sales processes
• Strong interpersonal skills
• Client and solutions experience with relevant client types
• Proven understanding of the regulatory environment affecting the Fixed Income business
• Experience creating efficiencies and improvements in our tools and processes
• Outstanding team work and communication skills
Role Qualifications:
• 8-12 years of experience in Sales with expertise in cash Rates and derivative products
• University Degree
• Ability to organize tasks and responsibilities as directed by management
• FINRA Series 7 and 63 Required
• FINRA Series 24 desired
The expected base annual salary range for this position is $195,000 - $325,000 at the start of employment. This is not a guarantee of compensation. The exact compensation is determined on an individualized basis and may vary based on skills, experience, training licensure, certifications and location. In addition to base salary, our total rewards package also includes eligibility for an annual discretionary bonus; medical, dental, and vision plans; life and disability insurance; employee wellness programs; retirement and savings plans with potential employer contributions; generous paid time off policy, parental leave and tuition reimbursement.
It is the policy of NatWest Markets Securities Inc. and its parent, affiliates and/or subsidiaries to provide equal employment and advancement opportunities to all colleagues and applicants for employment without regard to race, color, ethnicity, religion, gender, sex, pregnancy/childbirth, age, national origin, sexual orientation, gender identity or expression, disability or perceived disability, genetic information, citizenship, veteran or military status, marital or domestic partner status, or any other category protected by federal, state and/or local laws. Equal Opportunity Employer -Disabled/Veteran - review "EEO Is The Law", "EEO is the law- Supplement" & "Pay Transparency Provision" posters here.
Hours
40
Job Posting Closing Date:
11/04/2023 Show more details...
Role Summary: The purpose of this role is to implement the global Rates strategy of the... franchise and to deliver long term sustainable value and positive customer outcomes
Role Responsibilities:
• Develop and implement target client acquisition, penetration and product plans for product / region and client base
• Work with Rates trading, Rates Voice Sales and Client Services to develop best in class solutions to meet client needs
• Increase client connectivity through strategy, communication and client engagement
• Drive communication between the US and London based Rates sales, trading and client service teams
• Proactive identification and escalation of conduct risk to deliver key customer outcomes
• Role model behaviours in line with the NWM Policy Framework
Role Requirements:
• Proven knowledge of relevant products
• Demonstrated ability to work collaboratively with stakeholders and counterparts and senior client relationships, including Real Money and Hedge Fund Portfolio Managers
• Derivative skills
• Broad understanding of macro-economics
• Ability to understand and manage core risks of sales processes
• Strong interpersonal skills
• Client and solutions experience with relevant client types
• Proven understanding of the regulatory environment affecting the Fixed Income business
• Experience creating efficiencies and improvements in our tools and processes
• Outstanding team work and communication skills
Role Qualifications:
• 8-12 years of experience in Sales with expertise in cash Rates and derivative products
• University Degree
• Ability to organize tasks and responsibilities as directed by management
• FINRA Series 7 and 63 Required
• FINRA Series 24 desired
The expected base annual salary range for this position is $195,000 - $325,000 at the start of employment. This is not a guarantee of compensation. The exact compensation is determined on an individualized basis and may vary based on skills, experience, training licensure, certifications and location. In addition to base salary, our total rewards package also includes eligibility for an annual discretionary bonus; medical, dental, and vision plans; life and disability insurance; employee wellness programs; retirement and savings plans with potential employer contributions; generous paid time off policy, parental leave and tuition reimbursement.
It is the policy of NatWest Markets Securities Inc. and its parent, affiliates and/or subsidiaries to provide equal employment and advancement opportunities to all colleagues and applicants for employment without regard to race, color, ethnicity, religion, gender, sex, pregnancy/childbirth, age, national origin, sexual orientation, gender identity or expression, disability or perceived disability, genetic information, citizenship, veteran or military status, marital or domestic partner status, or any other category protected by federal, state and/or local laws. Equal Opportunity Employer -Disabled/Veteran - review "EEO Is The Law", "EEO is the law- Supplement" & "Pay Transparency Provision" posters here.
Hours
40
Job Posting Closing Date:
11/04/2023 Show more details...
via JobLeads
posted_at: 2 days agoschedule_type: Full-time
Join us as a Head of Specialist Services
• In this high profile role, we’ll look to you to make sure your unit is efficiently planned and operating at its optimum capacity
• You’ll be specialising in customer onboarding, account opening, and CDD in-life activities and you'll lead our Specialist Service teams who support RBS International Institutional Banking customers...
• This is an opportunity to be at the forefront of protecting our
Join us as a Head of Specialist Services
• In this high profile role, we’ll look to you to make sure your unit is efficiently planned and operating at its optimum capacity
• You’ll be specialising in customer onboarding, account opening, and CDD in-life activities and you'll lead our Specialist Service teams who support RBS International Institutional Banking customers...
• This is an opportunity to be at the forefront of protecting our customers and the bank
What you'll do
You’ll lead customer onboarding, event driven reviews, reliance testing, high risk periodic reviews, and Luxembourg periodic review teams based in Jersey, Guernsey, IOM, Edinburgh, and Belfast. As such, you'll lead the day to day improvement of all customer delivery whilst partnering with our mandatory change and discretionary innovation partners to delivery strategic priorities.
You’ll maximise efficiency by collaborating with support functions and continuing to make sure your unit is engaged and consistently developing professionally. We’ll also look to you to approve and maintain process documents to help define performance indicators, the measurement and reporting of MI and to enable the right decision making.
Additionally, you’ll be:
• Optimally using resources to reduce costs and increase productivity
• Developing and executing a plan for effective training and accreditation, and understanding and driving the performance of you unit
• Using data insights to drive change activity, and leading and participating in local and global projects
• Building a culture of continuous improvement, leading by example to deliver innovative and cost-effective solutions to enhance our performance and customer experience
• Enhancing the risk culture in your unit with a focus on proactive, end-to-end risk
The skills you'll need
You’ll need to have knowledge and experience of accreditation in strategic in-life CDD, anti-money laundering, or customer onboarding with account opening along with knowledge of financial services. Strong people management skills are a must, along with the ability to drive, coach and motivate others to succeed.
We’ll also look for you to have:
• An understanding of the industry and our customers
• Knowledge of AML and financial products, processes and banking systems
• A background in risk, compliance and legal issues in different jurisdictions
• An understanding of people processes and policies Show more details...
• In this high profile role, we’ll look to you to make sure your unit is efficiently planned and operating at its optimum capacity
• You’ll be specialising in customer onboarding, account opening, and CDD in-life activities and you'll lead our Specialist Service teams who support RBS International Institutional Banking customers...
• This is an opportunity to be at the forefront of protecting our customers and the bank
What you'll do
You’ll lead customer onboarding, event driven reviews, reliance testing, high risk periodic reviews, and Luxembourg periodic review teams based in Jersey, Guernsey, IOM, Edinburgh, and Belfast. As such, you'll lead the day to day improvement of all customer delivery whilst partnering with our mandatory change and discretionary innovation partners to delivery strategic priorities.
You’ll maximise efficiency by collaborating with support functions and continuing to make sure your unit is engaged and consistently developing professionally. We’ll also look to you to approve and maintain process documents to help define performance indicators, the measurement and reporting of MI and to enable the right decision making.
Additionally, you’ll be:
• Optimally using resources to reduce costs and increase productivity
• Developing and executing a plan for effective training and accreditation, and understanding and driving the performance of you unit
• Using data insights to drive change activity, and leading and participating in local and global projects
• Building a culture of continuous improvement, leading by example to deliver innovative and cost-effective solutions to enhance our performance and customer experience
• Enhancing the risk culture in your unit with a focus on proactive, end-to-end risk
The skills you'll need
You’ll need to have knowledge and experience of accreditation in strategic in-life CDD, anti-money laundering, or customer onboarding with account opening along with knowledge of financial services. Strong people management skills are a must, along with the ability to drive, coach and motivate others to succeed.
We’ll also look for you to have:
• An understanding of the industry and our customers
• Knowledge of AML and financial products, processes and banking systems
• A background in risk, compliance and legal issues in different jurisdictions
• An understanding of people processes and policies Show more details...
via Jora
posted_at: 4 days agoschedule_type: Full-time
Location
Bangalore, India...
Contract
Permanent - Full Time
Brand
NatWest Group
Job category
Data, Insights & Analytics - Business Strategy & Delivery
Posted
04/04/2023
Our people work differently depending on their jobs and needs. From hybrid working to flexible hours, we have plenty of options that help our people to thrive.
This role is based in India and as such all normal working days must be carried out in India.
Join us as a Data
Location
Bangalore, India...
Contract
Permanent - Full Time
Brand
NatWest Group
Job category
Data, Insights & Analytics - Business Strategy & Delivery
Posted
04/04/2023
Our people work differently depending on their jobs and needs. From hybrid working to flexible hours, we have plenty of options that help our people to thrive.
This role is based in India and as such all normal working days must be carried out in India.
Join us as a Data Analyst
• Take on a new challenge in a cutting-edge team, in which you’ll contribute to the analysis of complex bank, franchise or function data to identify business issues and opportunities
• We’ll look to you to provide high quality analytical input to help develop and implement innovative processes and problem resolution across the bank
• This is a hands-on role in which you'll hone your data analysis expertise and gain valuable experience in a dynamic area of our business
• We're offering this role at associate vice president level
What you'll do
As a Data Analyst, you'll play a key role in supporting the delivery of high quality business solutions. You’ll be performing data extraction, storage, manipulation, processing and analysis, alongside developing and performing standard queries to ensure data quality and identify data inconsistencies and missing data.
Day-to-day, you’ll also be:
• Collecting, profiling and mapping appropriate data to use in new or existing solutions as well as for ongoing data activities
• Identifying and documenting data migration paths and processes, standardising data naming, data definitions and modelling
• Helping to interpret customer needs and turning them into functional or data requirements and process models
• Supporting several large, complex and critical projects within your department
The skills you'll need
We’re looking for someone with at least six years' relevant experience and experience of using data analysis tools and delivering data analysis in a technology or IT function.
We’ll also look for:
• An in-depth understanding of the interrelationships of data and multiple data domains
• A background in delivering research based on qualitative and quantitative data across a range of subjects
• Excellent influencing and communication skills Show more details...
Bangalore, India...
Contract
Permanent - Full Time
Brand
NatWest Group
Job category
Data, Insights & Analytics - Business Strategy & Delivery
Posted
04/04/2023
Our people work differently depending on their jobs and needs. From hybrid working to flexible hours, we have plenty of options that help our people to thrive.
This role is based in India and as such all normal working days must be carried out in India.
Join us as a Data Analyst
• Take on a new challenge in a cutting-edge team, in which you’ll contribute to the analysis of complex bank, franchise or function data to identify business issues and opportunities
• We’ll look to you to provide high quality analytical input to help develop and implement innovative processes and problem resolution across the bank
• This is a hands-on role in which you'll hone your data analysis expertise and gain valuable experience in a dynamic area of our business
• We're offering this role at associate vice president level
What you'll do
As a Data Analyst, you'll play a key role in supporting the delivery of high quality business solutions. You’ll be performing data extraction, storage, manipulation, processing and analysis, alongside developing and performing standard queries to ensure data quality and identify data inconsistencies and missing data.
Day-to-day, you’ll also be:
• Collecting, profiling and mapping appropriate data to use in new or existing solutions as well as for ongoing data activities
• Identifying and documenting data migration paths and processes, standardising data naming, data definitions and modelling
• Helping to interpret customer needs and turning them into functional or data requirements and process models
• Supporting several large, complex and critical projects within your department
The skills you'll need
We’re looking for someone with at least six years' relevant experience and experience of using data analysis tools and delivering data analysis in a technology or IT function.
We’ll also look for:
• An in-depth understanding of the interrelationships of data and multiple data domains
• A background in delivering research based on qualitative and quantitative data across a range of subjects
• Excellent influencing and communication skills Show more details...
via Jora
posted_at: 3 days agoschedule_type: Full-time
Location
Bangalore, India...
Contract
Permanent - Full Time
Brand
NatWest Group
Job category
Audit - Control, Oversight & Assurance
Posted
06/04/2023
Our people work differently depending on their jobs and needs. From hybrid working to flexible hours, we have plenty of options that help our people to thrive.
This role is based in India and as such all normal working days must be carried out in India.
Join us as a Senior Auditor in Infrastructure
Location
Bangalore, India...
Contract
Permanent - Full Time
Brand
NatWest Group
Job category
Audit - Control, Oversight & Assurance
Posted
06/04/2023
Our people work differently depending on their jobs and needs. From hybrid working to flexible hours, we have plenty of options that help our people to thrive.
This role is based in India and as such all normal working days must be carried out in India.
Join us as a Senior Auditor in Infrastructure & Cyber Security Audit
• This is an opportunity for someone with a background in Cloud operations to move into the Infrastructure & Cybersecurity Audit team and evolve their skills in Risk & Controls testing
• You’ll be providing quality and effective assurance as well as influencing our business managers to improve control, specialising in Technology
• This is also an opportunity to hone your skills as you’ll be leading audit engagements, meeting up with business managers, and working on successfully mitigating audit risks
• This role is available at associate vice president level
What you'll do
As a Senior Auditor, you’ll be contributing to our assurance plans and carrying out various tests that review our audit risks. You’ll be exposed to new ways of thinking through the analysis of our MI and will be undertaking effective process mapping. Additionally, you’ll be coaching auditors and leveraging our industry leading audit methodology and tools.
Day-to-day, you’ll be:
• Reviewing our risk information and producing effective audit engagement reports and opinions
• Effectively creating issues and contributing to discussions on the opinion in order to influence the prudent management of risk
• Managing your workload to make sure you deliver projects within the stipulated budgets and timelines
• Engaging with stakeholders and making sure they have a clear understanding of business risks
• Sharing your knowledge throughout various audit engagements across the bank
The skills you'll need
We're looking for someone with experience in Cloud Security and with an awareness of emerging threats. You'll be familiar with standards such as Service Organisation Control 2, Cloud Security Alliance and similar. You'll also come with certifications in AWS or Azure.
To excel in this role, you’ll have a background in Technology. You’ll need prior experience in risk management and audits. You must be able to demonstrate strong problem-solving skills and we’ll look to you to have an eye for detail.
In addition, you should demonstrate:
• A strong understanding of the principles of good risk management
• A thorough grounding in monitoring and testing effective controls
• The ability to assess and prioritise data effectively
• Excellent communication and stakeholder management skills Show more details...
Bangalore, India...
Contract
Permanent - Full Time
Brand
NatWest Group
Job category
Audit - Control, Oversight & Assurance
Posted
06/04/2023
Our people work differently depending on their jobs and needs. From hybrid working to flexible hours, we have plenty of options that help our people to thrive.
This role is based in India and as such all normal working days must be carried out in India.
Join us as a Senior Auditor in Infrastructure & Cyber Security Audit
• This is an opportunity for someone with a background in Cloud operations to move into the Infrastructure & Cybersecurity Audit team and evolve their skills in Risk & Controls testing
• You’ll be providing quality and effective assurance as well as influencing our business managers to improve control, specialising in Technology
• This is also an opportunity to hone your skills as you’ll be leading audit engagements, meeting up with business managers, and working on successfully mitigating audit risks
• This role is available at associate vice president level
What you'll do
As a Senior Auditor, you’ll be contributing to our assurance plans and carrying out various tests that review our audit risks. You’ll be exposed to new ways of thinking through the analysis of our MI and will be undertaking effective process mapping. Additionally, you’ll be coaching auditors and leveraging our industry leading audit methodology and tools.
Day-to-day, you’ll be:
• Reviewing our risk information and producing effective audit engagement reports and opinions
• Effectively creating issues and contributing to discussions on the opinion in order to influence the prudent management of risk
• Managing your workload to make sure you deliver projects within the stipulated budgets and timelines
• Engaging with stakeholders and making sure they have a clear understanding of business risks
• Sharing your knowledge throughout various audit engagements across the bank
The skills you'll need
We're looking for someone with experience in Cloud Security and with an awareness of emerging threats. You'll be familiar with standards such as Service Organisation Control 2, Cloud Security Alliance and similar. You'll also come with certifications in AWS or Azure.
To excel in this role, you’ll have a background in Technology. You’ll need prior experience in risk management and audits. You must be able to demonstrate strong problem-solving skills and we’ll look to you to have an eye for detail.
In addition, you should demonstrate:
• A strong understanding of the principles of good risk management
• A thorough grounding in monitoring and testing effective controls
• The ability to assess and prioritise data effectively
• Excellent communication and stakeholder management skills Show more details...
via Jora
posted_at: 3 days agoschedule_type: Full-time
Location
London, United Kingdom...
Contract
Permanent - Full Time
Brand
NatWest Group
Job category
Customer Journey - Customer
Posted
06/04/2023
Our people work differently depending on their jobs and needs. From hybrid working to flexible hours, we have plenty of options that help our people to thrive.
This role is based in the United Kingdom and as such all normal working days must be carried out in the United Kingdom.
Join us as a Customer
Location
London, United Kingdom...
Contract
Permanent - Full Time
Brand
NatWest Group
Job category
Customer Journey - Customer
Posted
06/04/2023
Our people work differently depending on their jobs and needs. From hybrid working to flexible hours, we have plenty of options that help our people to thrive.
This role is based in the United Kingdom and as such all normal working days must be carried out in the United Kingdom.
Join us as a Customer Journey Performance & Planning Consultant
• An excellent opportunity has arisen to support with the proposal and implementation of customer journey targets and sequencing, helping teams to drive improvements and the performance of their portfolio
• You’ll directly support leadership to liaise with customer journey teams, setting targets aligned to the desired outcomes
• It’s a collaborative and high-profile role, which will allow you to develop your existing skills and advance your career
What you'll do
In this key role, you’ll ensure consistency across bank-wide customer journeys. You’ll monitor and track the performance of customer journeys, including delivery to milestone cost, benefits, deliverables and customer experience improvements.
You’ll also:
• Prioritise and sequence the customer journey roadmap aligning investment and delivery to agreed outcomes
• Support leadership to establish objectives and investment targets and define the customer journey roadmap
• Challenge customer journey performance, milestones and outcomes
• Ensure re-usability of capabilities and best practices across all customer journeys
• Liaise with stakeholders to embed and drive improvements into our customer journey teams
The skills you'll need
To be successful in this role, you’ll need knowledge of risk framework, systems and controls. You’ll also be a skilled communicator with a track record of influencing a wide range of audiences.
On top of this, you’ll bring:
• Strategic thinking skills
• Some experience of systems or design thinking skills
• The ability to simplify complex and conflicting tasks and positions, making sure that these are effectively managed and communicated
• Knowledge of how to identify and source key metrics, to produce detailed analysis packs with recommendations
If you need any adjustments to support your application, such as information in alternative formats or special requirements to access our buildings, or if you’re eligible under the Disability Confident Scheme please contact us and we’ll do everything we can to help Show more details...
London, United Kingdom...
Contract
Permanent - Full Time
Brand
NatWest Group
Job category
Customer Journey - Customer
Posted
06/04/2023
Our people work differently depending on their jobs and needs. From hybrid working to flexible hours, we have plenty of options that help our people to thrive.
This role is based in the United Kingdom and as such all normal working days must be carried out in the United Kingdom.
Join us as a Customer Journey Performance & Planning Consultant
• An excellent opportunity has arisen to support with the proposal and implementation of customer journey targets and sequencing, helping teams to drive improvements and the performance of their portfolio
• You’ll directly support leadership to liaise with customer journey teams, setting targets aligned to the desired outcomes
• It’s a collaborative and high-profile role, which will allow you to develop your existing skills and advance your career
What you'll do
In this key role, you’ll ensure consistency across bank-wide customer journeys. You’ll monitor and track the performance of customer journeys, including delivery to milestone cost, benefits, deliverables and customer experience improvements.
You’ll also:
• Prioritise and sequence the customer journey roadmap aligning investment and delivery to agreed outcomes
• Support leadership to establish objectives and investment targets and define the customer journey roadmap
• Challenge customer journey performance, milestones and outcomes
• Ensure re-usability of capabilities and best practices across all customer journeys
• Liaise with stakeholders to embed and drive improvements into our customer journey teams
The skills you'll need
To be successful in this role, you’ll need knowledge of risk framework, systems and controls. You’ll also be a skilled communicator with a track record of influencing a wide range of audiences.
On top of this, you’ll bring:
• Strategic thinking skills
• Some experience of systems or design thinking skills
• The ability to simplify complex and conflicting tasks and positions, making sure that these are effectively managed and communicated
• Knowledge of how to identify and source key metrics, to produce detailed analysis packs with recommendations
If you need any adjustments to support your application, such as information in alternative formats or special requirements to access our buildings, or if you’re eligible under the Disability Confident Scheme please contact us and we’ll do everything we can to help Show more details...