Search Results
Corporate Banking Compliance Advisory
A large, City based Corporate Investment Bank is looking for compliance professional to join their Compliance Advisory team. The bank is a market leading debt house, with one of the largest deal flows in Europe, meaning that they are a household name in the North American, APAC and EMEA regions.The role itself is as a senior advisory officer, lending advice across the bank on all Coverage Institutional Lending matters. Candidates will also provide wider coverage across the Private Side of the Investment Bank, with exposure to DCM and Syndication, offering wide exposure across the bank and Read more […]
Manager/ Senior Manager, Risk & Compliance Advisory
A Big Four firm is searching for a Risk and Compliance Advisory specialist to join its Investment Management team.You will hold a manager/senior manager title and will help investment management firms, hedge funds and private equity firms to transform, integrate and improve their regulatory and risk management practices.Responsibilities include:• Understanding the impact of risk and regulatory developments on clients• Developing solutions and value adding propositions and taking these to market• Providing implementation and technical services where remediation is required• Devise testing Read more […]
Global Compliance Policies
We are recruiting for a VP to join the Global Policies team. You will be responsible for the drafting and delivery of the Global Compliance Policies and Global Standards applicable across the Bank.Purpose of roleThe Global Policies team are responsible for the Global Compliance Policies and Global Standards applicable across the Bank. The primary responsibilities of these roles include: Supporting the successful delivery and communication of high quality policy documentsSupport the development and further enhancement of governance structures for policy document review.Ensure robust communication Read more […]
Employee Compliance Officer
Global Investment Bank is looking for a Compliance Officer to be part of Employee Compliance Function. The role is to advise on ethical conduct, identify regulatory solutions and promote a culture of Compliance. You would be responsible for developing and managing the employee Compliance program on a global scale including the policies, procedures and controls.Responsibilities Include…· Assist in the migration of existing processes into the Employee Compliance Function and build out new processes, to ensure consistency in policies, procedures and controls.· Provide Employee Compliance Read more […]
DCM Compliance Advisory
A large, City based Investment Bank is looking for compliance professional to join their DCM compliance advisory team. The bank is a market leading debt house, with one of the largest deal flows in Europe, meaning that they are a household name in the North American, APAC and EMEA regions.The role itself is as a senior advisory officer, lending advice across the bank on all DCM matters. Candidates will be providing compliance coverage of the London based private side businesses, covering, Debt Capital Markets, and IBD as a whole, offering wide exposure across the bank and across different Read more […]
Global Compliance Policy and Support
Investment Manager in the City is looking to hire a Global Policies expert with a background from regulatory compliance. This is a high profile position for our client and they are looking to hire quickly. A buy side background is recommended for this position as well as an understanding of MIFID 2The role will consist of;Manage regulatory developments and apply to the global businessSpecifically MIFIDII and MAR, understanding the scope and bring smart logic to providing solutions whilst liaising with all relevant staff.Working closely with Stakeholders across the areas of governance, record Read more […]
Compliance Manager / Deputy Head of Compliance
A leading London Hedge Fund is searching for a senior compliance professional to oversee its experienced Compliance team. You will initially come on board as a Compliance Manager transitioning to become the Deputy Head of Compliance within 6 months once you have become familiar with the company and its clients. The role will be generalist in nature and have 3 direct reports in the form of two Compliance Analysts and one Senior Compliance Analyst.Key responsibilities associated with the position include:- Design and implementation of the Compliance Monitoring Plan- Ad-hoc advice to the business- Read more […]
Senior Internal Compliance Manager
A fantastic managerial opportunity has arisen at a top 10 professional services firm within the internal compliance team. This would suit someone with managerial experience in a similar role. The role itself sits within the team that aims to provide advice and support to the key business units to ensure they are best equipped and informed to manage risk and quality as possible. The Risk Management team therefore covers a variety of functions and jurisdictions within the business meaning this role is very varied in nature. In terms of the team, this person will be responsible for six members Read more […]
UK Compliance Monitoring Manager
Compliance Monitoring ManagerA leading international investment management firm is searching for a new Compliance Monitoring Manager to join its team. The role will provide you with exposure across a broad range of investment types (equities, fixed income, property) and products (regulated funds/unregulated funds/segregated clients/structured products).As a compliance team manager, you will interact with the vast majority of the company’s employees including Compliance team members (in the UK and Globally), Fund Managers, Research analysts, Dealers, Control Departments, Operations and support Read more […]
MI Analyst Compliance Monitoring
We are recruiting for an MI Analyst to join a Bank in London. This would be an exciting time to join the team as they are just entering into a new project phase Working within the Compliance monitoring team you will be responsible for MI reporting (both the owning and production of MI).Key Duties• Ensure the hierarchical structure of the database is consistently applied• Monitor key vendor-related reports for updates • Update database with all necessary changes and ensure that the changes are applied accurately and promptly• Monitor exchange and other appropriate websites for data Read more […]