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Generalist Compliance Analyst

A leading UK asset management firm is looking for a generalist compliance analyst to replace a employee who has moved internally. The role sits within the the team responsible for ad-hoc advisory, marketing and regulation and will give you broad exposure across all business lines.The firm is looking for a bright junior with 2-3 years compliance experience, who is looking to make a step-up into a key generalist position and join an existing team of 4 analysts. One of the key focusses of the role will be to aid the firm in growing its brand internationally, prior experience looking at regulatory Read more […]

January 16, 2015 • Tags:  • Posted in: Financial • No Comments

Distribution Compliance Manager

A leading brand in global asset management requires an experience compliance advisory specialist to join its business. The role sits in the Compliance Advisory team and is aligned to regulatory issues in relation to global distribution of the company’s funds, cross border regulatory implications in relation to this as well as sales/marketing regulatory issues.This role sits in a wider team of 5 specialists, and will join as a Manager in this team by title rather than having management responsibility. The successful candidate will be expected to have oversight of less experienced colleagues Read more […]

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

Compliance Policy & Strategy VP

We are looking for an experienced Compliance contractor (VP Level) to provide Compliance Policy and Strategy Delivery across our Banking Group. The role will be to support our Compliance team and provide additional scope to cover the roll out of policies and procedures across the Group and, specifically, the Corporate Banking, Retail and Business Banking, and Wealth and Investment Management businesses. The role involves liaising with Group Compliance and business units when Group Compliance issues policies for adoption, consulting businesses and reverting to Group with line of business feedback. Read more […]

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

Portfolio/Investment Compliance Analyst

Following the increased requirement in pre and post trade analysis and the high value of fines resulting from breaches, a British Fund Manager with a global presence is looking to increase its team. Reporting to the Senior Compliance Manager the successful candidate will be responsible for reviewing system generated exceptions as well as liaising with other areas of the business.The company is British based and has an EU focus though still retains a large global footprint. They pride themselves on providing an exceptional working environment and fantastic work/life balance. The successful Read more […]

December 30, 2014 • Tags:  • Posted in: Financial • No Comments

Compliance Control & Change Specialist

Our client is looking for the right candidate to manager key channel systems; including assessing and implementing changes. You will be asked to provide on-going support to channel initiatives, implementing effective change whilst reporting on channel performance.We are looking for someone with efficient time management skills to complete tasks and use resources (skills, equipment and systems) effectively to ensure timely, high quality and consistent results. You will be working 9am to 5pm. There is a minimum requirement of 5 GCSE’s at A*-C grade including Maths and English. I.T literate Read more […]

December 23, 2014 • Tags:  • Posted in: General • No Comments

Compliance Advisory Officer

A leading brand in global asset management requires an experienced compliance advisory specialist to join its business. The role sits in the Compliance Advisory team and this team are responsible for both regulatory advice in relation to investments but also management of regulatory change and providing regulatory training. This role sits in a wider team of 5 specialists, and this role will join as a senior officer in this team. The successful candidate will be expected to have oversight of a chosen business line and to lead as an SME on key regulations such as UCITS IV, AIFMD MIFID II. This Read more […]

December 10, 2014 • Tags:  • Posted in: Financial • No Comments

141940 – Senior Associate Compliance Division for EMEA

A City of London based Investment Bank is expanding their Compliance Surveillance team. The team is currently 6 people, with a depth of experience from across the market. They are looking for someone who is comfortable across wholesale products, and also with the processes involved in employee compliance activities.Based on the trading floor, the team will monitor trading patterns to help mitigate the risk of market abuse. You will become part of a well-regarded team providing comprehensive market surveillance across the London based businesses, and across all product classes. The exposure Read more […]

December 9, 2014 • Tags:  • Posted in: Financial • No Comments

Head of Compliance

A boutique Fund Manager based in the heart of London’s West End require an experienced Head of Compliance to join their growing and dynamic business. The role will hold both the CF10 and CF11. The company have an exemplary regulatory record, this role will be replacing a very well regarded Head of Compliance. The company are made up of 60 staff in their London office and are both FCA and SEC registered. This role manages a team of 2 analysts.The company have 2 main funds covering Equities and Private Equity. The company have developed a very strong senior investment team and the company are Read more […]

December 5, 2014 • Tags:  • Posted in: Financial • No Comments

Regulatory and Compliance Analyst

Talk to a consultant Talk to Rosslyn Blair, the specialist consultant managing this position, located in Edinburgh Contact consultant ttelephone:01316038374 24 Charlotte Square, Edinburgh, ,EH2 4ET

November 26, 2014 • Tags:  • Posted in: Financial • No Comments

EMEA Head of Equities Compliance

A securities house based in the City of London is looking to expand its Compliance Team, in a role that will develop into EMEA Head of Equities. The team is currently 4 people, and they are looking for an expert on Equities who is comfortable with the hands on exposure that the role will entail.OrganisationThe house is well-regarded equities player, currently undergoing a merger with three other international houses to expand their EMEA presence. The house will be the equities arm of the new business and so they are looking for a senior compliance figure, with excellent product knowledge, Read more […]

November 21, 2014 • Tags:  • Posted in: Financial • No Comments