Archive for May, 2013
Scheduler
A leading provider of IT communication services, is currently looking for a Scheduler to join their expanding team at their prestigious offices in NottinghamThe role involves logging engineer work requests onto the job management system, and tracking the request through to completion, each client we work with has a portfolio of clients each with strict Service Level agreement .You will liaise with both internal and external parties to ensure excellent customer service satisfaction by ensuring efficient and regular updates Previous Scheduling / Planner experience would be advantageous but not Read more […]
Regulatory Coordinator
Job Summary: Regulatory Coordinators monitor and evaluate the financial and operational and sales practice condition of member firms through continuous communication with member firm management and the review and analysis of regulatory filings and other data obtained from member firms. This position requires frequent contact and interaction with management of assigned member firms. Essential Job Functions: •Review and analyze financial reports and other relevant data to ensure compliance with FINRA and SEC rules and regulations. •Understand the regulatory risks of the products offered Read more […]
Part-Qualified Accountant
Talk to a consultant Talk to Coleen Reilly, the specialist consultant managing this position, located in Basingstoke Contact consultant ttelephone:01256 633152 ffax:01256 840265 2nd Floor, Copenhagen Court, 32 New Street, Basingstoke, Hampshire, United Kingdom, RG21 7DT Read more […]
Infrastructure Analyst
ClearBridge Investments is a global equity manager with approximately $68 billion in assets under management. Established in 2005 with a legacy that dates back over 45 years, our long-tenured portfolio managers and fundamental research team focus on building equity portfolios for clients who seek income solutions, high active share or managed volatility. Owned by Legg Mason, ClearBridge operates with investment independence from headquarters in New York and offices in San Francisco, Wilmington and Baltimore. JOB SUMMARYClearBridge is seeking an Infrastructure Analyst to join their Read more […]
SENIOR ACCOUNTANT
Primary Responsibilities include but are not limited to: • Monthly financial statement closings and account reconciliations • Payroll • Brokerage commission calculations • Management Reporting • Forecasting and budgeting • Year-end audit preparation • Tax compliance liaison • Regulatory filings • Development and implementation of processes and controls Qualifications • BS in Accounting • CPA required • Minimum of 3 years’ experience in public accounting • Strong excel skills • Experience in brokerage or trading a plus To apply please Read more […]
Equities Trading Floor Compliance
Additional responsibilities will include a role coordinating with foreign affiliates on cross-border electronic and algorithmic trading initiatives and activities. The candidate should have experience and a strong working knowledge of US equity markets and rules and regulations relating to electronic trading including but not limited to the Market Access Rule, Trade Reporting rules, Reg ATS, Reg NMS and Reg SHO. In addition, the candidate will: • Lead the Compliance Advisory program to assess the regulatory/compliance controls of the Firm’s Electronic Trading Platform which includes Direct Read more […]
Business Unit Compliance Officer
The ideal candidate will provide advice, training and monitoring relating to the front office, partner with front office and other logistics and control functions to issue spot, identify and manage regulatory and reputational risk. Responsibilities Business Unit Compliance • Coverage responsibility for Prime Services including Futures clearing and execution • Integrate compliance requirements of new rules and regulations including Dodd Frank • Identify Key Risks and Improve Control Framework • Provide Advice and Training to Sales and Trading and Execution • Leverage Partnerships Read more […]
Senior Consultant – Data Specialist (Forensics) – Melbourne
Senior Consultant – Data Specialist (Forensics) – Melbourne – 6 / 12 month contractThe Risk team integrates PwC’s expertise in strategic and financial risk, regulatory advice, governance and compliance risk, operational and technology risk, forensics, controls and internal audit. We offer an integrated approach to risk and work with our clients to help them build a resilient and successful business. This involves identifying and maximising opportunities, protecting reputation, mitigating downside threats and designing and implementing an optimised control environment.Our Fraud Forensics Read more […]
Senior Consultant / Manager – Fraud & Forensics (Data Analytics)
Senior Consultant / Manager – Fraud Forensics (Data Analytics) – SydneyWe are currently seeking an experienced Senior Consultant to join our team. The key focus of this role will include conducting computer forensics investigations, handling large, technical legal and regulatory matters and solving complex data related issues. We serve clients both locally and internationally and our teams experience has been built on a combination of specialised training courses, on-the-job training and a strong global network.Responsibilities will include:- Working as part of a team to assist clients handle Read more […]
Anti Money Laundering Compliance Officer (AMLCO)
Reporting to the Chief Compliance Officer, the AMLCO will be responsible for leading the firm’s AML program including managing the firm’s fraud investigation activities, training, development of and enhancement to AML related Written Supervisory Procedures, regulatory exams and due diligence related to AML Fraud related activities.Key Skills Responsibilities:Overall responsibility for the firm’s AML Program. The AMLCO will ensure that the firm has AML Compliance procedures which are reasonably designed to achieve and monitor the firm’s compliance with regulatory requirements including Read more […]