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Compliance Officer
An immediate opportunity has arisen for an experienced Compliance Officer – Corporate Finance Compliance to join our client, a leading banking company based in LondonThe role will include provision of general advisory compliance support to Corporate Finance in relation to:-Regulatory requirements in respect of transactions undertaken by Corporate Finance-Regulatory requirements in respect of the Corporate Finance business-Controls over confidential and inside information-Reputational risk-Resolution and management of conflicts of interestThe role will include provision of specialist advice in Read more […]
Vice President/Compliance Program Management
The ideal candidate will communicate, assist and support all aspects of originations and servicing for the firm including regulatory and legislative changes, compliance policies, procedures and internal (audit, quality control, etc.) and external (Fannie Mae and other third party) requirements. Work with business units and Compliance leadership to develop compliance programming that provides oversight, training, monitoring and testing of the company’s processes and procedures to ensure compliance. Responsibilities • Accountable for directing the employees and processes to drive regulatory Read more […]
Compliance IT Business Services Manager
The ideal candidate will be responsible for constructing business plans and directing the flow of work of all technology resources assigned to work on business unit related IT projects; Oversight for day-to-day technology operations and portfolios for multiple business units; Collaborates with application development, architecture engineering and service delivery resource pool managers to identify and assign matrixed resources when needed to support both new and ongoing technology work; Responsible for statistical reporting including but not limited to the Client Satisfaction and Scorecard process. RESPONSIBILITIES Strategizes Read more […]
Fixed Income / Credit Compliance, Director Level
Main Duties • Provide in-depth knowledge and experience with respect to rules and regulations applicable to assigned business areas. • Provide appropriate real time support, advice and training to the relevant front office and infrastructure personnel. • Review, interpret and implement rule proposals and amendments relevant to assigned business areas (including, for example, applicable Dodd Frank regulations). • Develop and implement appropriate Compliance policies and procedures. • Develop and execute appropriate verification procedures to confirm compliance with relevant requirements. • Read more […]
EMEA Custody Compliance Officer
The EMEA Custody Compliance Officer (“EMEA CCO”) works within the Compliance Assurance Program (“CAP”) framework and reports to the EMEA Head of Compliance Assurance (“HECA”). The EMEA CCO is responsible for the creation and delivery of a regional custody compliance assurance program. The role of the EMEA CCO is to:work closely with the local custody Subject Matter Experts (“SMEs”) who are responsible for the creation and delivery of a custody compliance program for their jurisdiction.ensure common standards and processes are applied where appropriate by the local custody Read more […]
Global Chief Compliance Officer
An extremely profitable financial services boutique that has experienced considerable growth since inception and has grown to over 65 people is looking to hire a Chief Compliance Officer. The firm is London based but has offices in Dubai and New York with Hong Kong set to be opened before the end of the year.The business has a number of business lines including asset management, stock loan, security services, structured products and institutional brokerage.There are looking for someone to take on the Global Head of Compliance for the Group, covering all business lines mentioned. This will include Read more […]
Group Ops Regulatory & Market Compliance Delivery Lead
In response to global financial regulatory reform, UBS Group Operations have mobilised a portfolio which will be responsible for overseeing the global delivery of all significant regulatory market-driven reform initiatives across the entire function.For clarity, market-driven reform refers to changes mandated by market infrastructure which is used by UBS in the course of business (e.g. custodians, central clearing houses, payment infrastructure) which require industry participants to implement system and process changes to accommodate both maintenance upgrades and transformational change. From Read more […]
Senior Commodities Compliance Manager
The successful candidate will:Ensure the effective implementation and operation of systems, to assist, identify and mitigate regulatory risks across the business.Act as a key contact with regulatory bodies and as a liaison with external and internal counsel.Monitor the implementation of regulatory changes such as EMIR and Dodd Frank.It is essential that you will have:Circa 5 years+ experience in an energy trading, regulatory/compliance environmentStrong knowledge of the current regulatory environment affecting the commodity markets.Good knowledge of physical and derivative commodities tradingFor Read more […]
Compliance Governance Introducer, VP
This role is responsible for managing and overseeing governance requirements for the new ‘Introducer Policy’ (governing relationships with senior advisers, lead generators, intermediaries and others) and all associated systems, processes and controls. The role requires a pro-active individual with strong organising capability and excellent stakeholder management/influencing skills. A proven track record in implementing policies and procedures will be required. Candidates should have the following skills and experience: Pro-active individual with exceptionally strong organising skills.A proven Read more […]
NBFI Compliance Analyst
The DepartmentGlobal Financial Institutions (GFI) is a division of Wells Fargo’s International Group responsible for providing financial services and innovative solutions to U.S. and International financial institutions, multi-laterals, central banks, and sovereign wealth funds. Overseas representative offices for GFI are located in 34 countries, including overseas branches and subsidiaries in Hong Kong, London, Seoul, Shanghai, Singapore, Taipei, Frankfurt, and Tokyo. U.S. customers are covered by relationship managers located in various locations across the country. GFI has a 100-year legacy Read more […]