Austin Andrew Ltd

36% of UK financial services firms penalised for compliance failures in past year! 🚀 The article from IFA Magazine reports that 36% of UK financial services firms were penalised for compliance failures in the past year. It highlights a survey which indicates that many companies are struggling with regulatory demands, with over half of the firms finding it challenging to keep up with the changing regulations. The penalties imposed ranged from fines to more severe sanctions, reflecting the increased scrutiny on the financial sector by regulators. The article underscores the importance of robust compliance measures and the potential repetitional and financial risks for companies failing to adhere to regulatory standards. Read more here 👉 https://lnkd.in/eUKiwR7k #compliancenews #compliance

What drives your internal audit strategy? 🧐 We want to hear from you!✨ #internalaudit #riskmanagement #assurance

Unlock the secrets to powerful compliance management!✨ Lets discuss how effective compliance can drive your business forward. ⬇️ #compliancemanagement #businessstrategy

Financial Markets Operations Associate role available!🔒 It is essential that you have 1 - 2 years in an Operations or trading role! 🚀 Responsibilities: 👉 Work in partnership with other operations teams across the Equities business to ensure that post trade preferences for new clients are configured accurately and in a timely manner to achieve a good client experience. 👉 Assist in the testing and roll out of new equity product lines. 👉 Maintain and update Back Office settings when necessary 👉 Be responsible for FX conversion process 👉 Maintain the stock record and perform reconciliations and investigate and fix and settlement issues or trade breaks 👉 Setup of process flow for new products and markets with a counterparty/custodian and streamline the process 👉 Liaise with clients and internal stakeholders to ensure correct and efficient processing of corporate actions. 👉 Build relationships with multiple teams globally across Operations, Technology, Compliance, Legal and the business, and build a good understanding of front to back trade lifecycle for Equities. 👉 Identify gaps, ensuring controls are implemented to close those gaps, review operational risk and put-up recommendations with timely updating of standard operating procedures 👉 Get involved in the development and implementation of new products 👉 Manage and process transfers in and out of stock Find out more information here ➡️ https://lnkd.in/dANAMTzM If you're interested, apply today! ✉️ #hiringnow #operationsassociate #financial

It's always great to hear feedback from the fantastic people we work with, both candidates and clients alike! 🙌️ If you're looking for a new role in Internal Audits, Compliance, Operations, Risk Management, Finance & Accounting, or around those areas, be sure to get in touch or check out our website below 👇 https://lnkd.in/eZ-C8gmK #compliance #Fintech #finance #accounting #ops #finops #riskmanagement #auditing 

Compliance Analyst role available!🔒 Our client is a premier asset manager. This role has responsibility for managing all front office system related alerts, and rules amongst other activities.🌟 Responsibilities: 👉 Front Office System oversight and management 👉 Wall crossings and Front Office System list updates 👉 Pre and post trade alert analysis 👉 Regulatory disclosures 👉 Front Office System rule coding for new accounts and/or new investment guidelines 👉 Change in Control process Find out more information here ➡️ https://lnkd.in/desb4FPr If you're interested, apply today! ✉️ #complianceanalyst #compliance #hiringnow

Facing challenges in financial reporting? 🧐 We want to hear from you!✨ #financepoll #financialreporting #poll

How does your organisation handle financial risk? 🧐 Let's discuss how to stay on top of financial risks! ✨ #riskmanagement #finance #financialsecurity #businessstrategy

Senior Risk and Compliance Officer role available!🔒 Our client is a a Far-Eastern bank setting up a branch in London. The branch will conduct wholesale business only, for professional and eligible counterparty clients, providing, corporate deposits, commercial loans and trade finance (including FX and interest rate swaps). 👉 You will play a critical role in ensuring the bank’s adherence to regulatory requirements, risk management practices, and ethical standards. 👉 You’ll collaborate with cross-functional teams, senior management, and external stakeholders to maintain a robust risk and compliance framework. 👉 You’ll support the Chief Risk Officer (SMF4), Chief Compliance Officer (SMF 16) and MLRO (SMF 17) in identifying, measuring, managing and monitoring operational risk, credit risk, conduct risk, regulatory compliance risk and financial crime risk. Essential criteria: 👉 Willing to work 100% from the office 👉 Experience of Trade Finance Find out more information here ➡️ https://lnkd.in/dEdP2Mi4 If you're interested, apply today! ✉️ #riskandcomplianceofficer #compliance #risk #tradefinance #hiringnow