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Senior Compliance Advisory Manager

A leading and fast-growing UK investment management business with leading positions in several specialist sectors and over $5bn AUM is looking for an exceptional Senior Compliance Advisory professional to join its London team. Reporting directly to the Head of Risk and Compliance this growing team is at the forefront the organisations future plans and offers the successful candidate a truly unique opportunity to join a modern and innovative firm. . This particular position has a specific focus on the provision of compliance advisory support in relation to projects, including emerging regulation.Key Read more […]

March 31, 2015 • Tags:  • Posted in: Financial • No Comments

Head of Compliance and Conduct Risk Assurance

Are you a compliance and conduct assurance senior manager who is looking for a job where you will be able to lead your own team, and shape strategy as you see fit? This could be the ideal job for you. Located in Manchester, you will be responsible for building, developing and maintaining a fit for purpose compliance and conduct assurance testing function for a successful investment and retail bank.This responsible job, which will give you the autonomy to shape the department and the departmental strategy, will require you to lead a vital function of the bank to deliver a robust second line Read more […]

March 23, 2015 • Tags:  • Posted in: Financial • No Comments

Compliance Monitoring & Surveillance

Our client, a leading name in global asset management has an opportunity for an accomplished Compliance Monitoring Specialist with buy side experience to join its best in Market Compliance Monitoring team.As a Compliance Monitoring specialist, it is essential you will have prior experience of working within the buy side, ideally institutional asset management. This experience could be from a focused Compliance Monitoring Role, regulatory audit or a generalist compliance role. Strong stakeholder management skills are a pre requisite, and a passion for customer service essential. The company Read more […]

March 23, 2015 • Tags:  • Posted in: Financial • No Comments

Group SOX Compliance Manager

An exciting opportunity has arisen to join a truly iconic global brand – offices based in Coventry – as a Group SOX Compliance Manager. Duties will include: managing and coordinating multiple work streams related to the Global SOX compliance effort, maintaining accurate SOX documentation, interacting and communicating with internal management and external auditors, amongst other things.You will need to have had management experience, with a proben track record of delivery in a SOX based controls role from a large global organisation. You will also need to be ACA/ACCA qualified, ideally from Read more […]

March 11, 2015 • Tags:  • Posted in: Financial • No Comments

Senior Compliance Analyst

Senior Compliance Analyst, Front Office Transaction MonitoringA fantastic compliance vacancy has opened up at a leading Investment Management firm within their successful Transaction Monitoring Compliance team. The role will see you sit within a team of 4, reporting into the Global Head of the division who is based in London.The team has an excellent culture, and is headed up by an impressive and well respected industry professional. This role will provide a fantastic step-up for someone looking for their second or third compliance role, and who are seeking out opportunities that will provide Read more […]

March 3, 2015 • Tags:  • Posted in: Financial • No Comments

Senior Compliance Executive

Senior Compliance Executive – Leading Investment Management Firm, MayfairAn exciting opportunity has arisen to join a leading global investment management firm, in a senior position reporting directly into the Head of Compliance.The role will see you work closely alongside the fund managers, advising on the products and systems they use. The role sits within the front office environment, so has constant direct interaction with the Investment Teams.Key responsibilities will include:• Addressing day to day compliance issues relating to trading strategies and the application of technology Read more […]

February 25, 2015 • Tags:  • Posted in: Financial • No Comments

Manager, Compliance Monitoring and Testing Banking and Capital Financing

A leading Global Banking Group require a Compliance Monitoring and Testing specialist to join their Investment Banking business. The role will sit very closely to the Origination and MA teams. The role sits at a VP banding and will act as a regulatory SME for this business.To be considered for this role you would need to demonstrate experience of leading desk based and thematic reviews and have strong experience of the private side of an investment bank.The role holder will be responsible for assisting the Head of Compliance Monitoring to fulfil the Compliance Monitoring Plan. This will primarily Read more […]

February 10, 2015 • Tags:  • Posted in: Financial • No Comments

Compliance Consultant Manager

A big four consultancy firm are looking to hire a new consultant into their regulatory advice team. With a focus In the retail and wealth business this team engages closely with regulators and leading firms within this sector. As p[art of a consultancy firm you will gain exposure to a variety of businesses and teams assisting and providing them with support to ensure compliance with relevant regulation.Key responsibilities include: • Strategic implications of regulation• Effective implementation of regulatory directives• Remediation of regulatory issues• Effective implementation of Read more […]

February 6, 2015 • Tags:  • Posted in: Financial • No Comments

Compliance Officer

Compliance Officer – IFA/PensionsCompliance Officer A leading Investment Manager is seeking a Compliance Officer to join its Monitoring team in its tax and accountancy business based in the city. The successful candidate will be responsible for carrying out independent compliance monitoring various business areas to ensure the continuous identification and review of potential regulatory risks. Reporting to the Compliance Monitoring Manager and working with the wider Compliance Team you will assist with the preparation and execution of monitoring plan and provide advice on findings across the Read more […]

February 6, 2015 • Tags:  • Posted in: Financial • No Comments

Senior Compliance Analyst

Senior Compliance OfficerA leading boutique Wealth Manager is looking for a Compliance to join its team based in the London’s West End. The successful candidate will report directly into the Head of Compliance and be responsible for ensuring all areas of the UK business remain compliant with all applicable regulations. A strong focus for this role will be updating the business on regulatory developments and working with the business to implement them Main duties will include:• Support the Head of Compliance in the drafting of new policies and procedures• Provide advice on UK compliance Read more […]

February 2, 2015 • Tags:  • Posted in: Financial • No Comments