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Advisory Compliance Manager
As a result of a restructuring a UK-Based global asset management firm is looking to incorporate a new compliance advisory manager into their team. The new advisory manager will be mainly responsible for advising and supporting UK business areas on regulatory matters.The company has a global footprint with a UK and European focus. They place a strong emphasis on compliance and believe it to be hugely important for their business strategy. There is a great collegiate culture promoting dynamic attitudes and encouraging training and development. The manager will have a number of responsibilities Read more […]
Compliance Analyst
A reputable and well regarded US fund manager with over $600 billion AUM and with a large global presence is seeking a compliance analyst to join the hub of their European operation in London. The role has come about due to an internal promotion. The company has a headcount of over 2500 and is respected throughout asset management and has demonstrated high levels of success. Focusing largely on fit within their culture, the company places a large emphasis on generalist compliance experience though this role with have an aspect of distribution compliance due to the companies global structure.The Read more […]
Compliance and Policy Manager
I am working alongside a worldwide Financial Services organisation based in Edinburgh who are looking to add an experienced Compliance and Policy Manager to the team on a permanent basis. The role requires an established Compliance specialist who has worked alongside FCA regulations to drive regulation across the business and provide advice, training and guidance to stakeholders.The successful candidate will manage and maintain effective compliance and policy procedures while providing training and guidance to support the business in understanding and maintaining regulatory requirements. The Read more […]
Compliance Manager
Compliance Manager – Fixed Income AdvisoryInterim opportunity for a Compliance Manger with Fixed Income / Electronic trading background to work within a top-tier global Investment bank. A client facing advisory role at the forefront of Fixed Income Compliance. We are looking for a professional with strong product knowledge in relation to Fixed Income Products and/or electronic trading. Role will be to review of electronic trading activities across FICC and application of internal Compliance guidelines and procedures. Provision of day to day Compliance advice to the Fixed Income trading, sales Read more […]
Central Compliance Contractor
Contract to Permanent Opportunity – Core Compliance working for top exchange business in the cityThe Specialist, Core Compliance will be responsible for supporting the following activities:Risk Assessment: Manage the process for undertaking compliance risk assessments across the business. Document the outputs of the assessments and work with the business on developing remediation plans to mitigate regulatory risks where required.Monitoring: Undertaking compliance monitoring in respect of the core compliance risks of the business. Carry out ad hoc risk based reviews and help the business to Read more […]
Senior Risk and Compliance Officer
Senior Compliance OfficerLaw firm – central London£45,000.00My client is a prestigious law firm based in central London and are seeking to recruit a Senior Risk and Compliance officer.The firm is over 200 years old and provides bespoke legal services across five major areas: private client and tax, property, family, corporate and litigation. They are recruiting the Senior Risk and Compliance officer to ensure the firm remains compliant with the SRA Principles and Code of Conduct. This role will have a particular focus on anti money laundering. The Senior Risk and Compliance officer will Read more […]
Compliance Analyst
Our client, a leading organisation in its sector with an enviable client base, seeks a Compliance Analyst – SOx, for its European finance team. Working with local management, the Compliance Analyst assists the European Compliance team with overall compliance with the Sarbanes-Oxley Act, assist with the SOX roll out process and ongoing compliance within the European region. They will also interpret accounting policies, processes and procedures as they relate to SOX compliance and Internal Controls over Financial Reporting (ICFR). This role includes preparation/maintaining and updating SOX documentation, Read more […]
Auditor, Conduct and Compliance
An exciting opportunity has arisen for an Internal Auditor to join a leading European banking institution within their Conduct and Compliance team. This is a great opportunity for someone who is looking to gain high level experience, senior stakeholder exposure and to grow within an exciting, fast paced environment. The bank is dedicated to developing your career, as well as skills through training. Based at the heart of the city of London this job will allow you to be part of an expanding team. You will be working in their Conduct Risk and Compliance team focusing on the wholesale, corporate Read more […]
Compliance Manager
An exciting opportunity has arisen in the growing Compliance team of one of Europe’s leading Investment Management firms. The individual will hold the position of Compliance Manager, and will be mainly responsible for advising and supporting UK business areas on regulatory matters.The Compliance Manager is involved in regulatory aspects of key business processes such as financial promotion, distribution agreements and product approval.OUTCOMES• Responsible for providing compliance advice and approval of product development and modification• Provision of advice and guidance to staff and Read more […]
Cross-border Compliance Advisory
A leading Investment Bank is looking for compliance professional to join their compliance advisory division. This is a senior role, offering candidates autonomy, and the opportunity to make their mark on the compliance department and build out the framework themselves. They will be working across the business, advising on the regulatory risk associated with the bank’s international activities.The InstitutionThe bank is a well-regarded institution, with a considerable deal flow, and they are considered to be a leader in their chosen markets. They have recently undergone considerable restructuring, Read more […]