Search Results
Compliance Trade Surveillance
Talk to a consultant Talk to Katherine Lord, the specialist consultant managing this position, located in London Contact consultant ttelephone:0203 465 0110 ffax:020 3465 0003 5th Floor, 107 Cheapside, London, London, United Kingdom, EC2V 6DB
Compliance Assistant
Exciting Junior Fixed Term Contract working for TOP LAW FIRM!Key Duties A Compliance Officer is principally responsible for the provision of guidance and advice to the firm as part of the New Business Intake process and for ensuring that the relevant policies and procedures to which the firm subscribes are adhered to at all times. Review New Business Intake forms submitted by both the International and US LLPs Ensure CDD has been gathered to the appropriate standard for all new client registrations, including those clients for whom enhanced due diligence is required Conduct a degree of personal Read more […]
Top Tier Investment Bank seeks Senior Compliance & Operational Risk Manager | London
– Leading European Investment Bank- London, UK- £Competitive Salary + Excellent Bonus BenefitsThe group are looking to hire an experienced risk and compliance professional with excellent knowledge of the UK and Eureopan regulations including managing relationships with the FCA PRA. Extensive knowledge of the UK and European financial markets is key and experience within a senior role covering a range of management responsibilities across both compliance, operational and regulatory risk functions.- 5 + years experience with leading financial institutions- Excellent knowledge of UK and EU regulatory Read more […]
Marketing Compliance Associate
We are sourcing for a dynamic and enthusiastic marketing review compliance professional who functions in an efficient and detail-oriented manner. The candidate should be a team player, extremely motivated, resourceful and well organized. This position will be part of a team providing support and expertise for the review of BlackRock’s marketing material. This position can be based in San Francisco or New York City and will report to the Head of Americas Marketing Compliance. Primary Areas of Responsibility:Key compliance resource for the review of marketing materials covering a wide variety Read more […]
AVP Equities Compliance Advisory
Key responsibilities will include:Assist in covering compliance issues in Equity Derivatives, products include: Listed Equity Derivatives, Convertibles, ETFs and Index Derivatives.Conduct regular reviews of policies and procedures to ensure compliance with laws and regulations.Maintain accurate and complete compliance documentation.Assist with responding to regulatory inquiries and exams.Assist in the review of new Equity Derivative related initiatives and products Person RequirementsBasic Qualifications:4-year college degree2+ years of working experiencePreferred Qualifications:Knowledge of Read more […]
Compliance Department Operations Manager
Responsibilities:Primary liaison with IT to develop and enhance necessary regulatory reports by providing rule specifications and input on development. Examples include SEC large trader, enhanced blue sheet, large option positions, CFTC large trader and open interest reports.Supervise the filing of reports within Compliance and test and validate regulatory reports sent by other departments.Follow up on issues or enhancements needed to existing reports.Act as primary compliance officer for any new initiatives and business lines.Requirements:Minimum 5 years working experience in equity/options Read more […]
Compliance Surveillance Officer
Well established Chicago bank-owned international futures, equities, and options clearing brokerage firm is looking for a Compliance Surveillance Officer. The surveillance office is responsible for investigating and following up on any incidents derived from the SMARTS surveillance system, responding to regulatory requests and assisting Market Access withy any development. This position will report jointly to Equities Chief Compliance Officer and Futures Chief Compliance Officer. Responsibilities:Liaising with customers’ compliance officers in resolving inquiriesWorking with Market Access Read more […]
AVP Level Compliance Testing & Internal Controls for Leading US Investment Bank | Boston, USA
AVP Level Compliance Testing Internal Controls for Leading US Investment Bank | Boston, USA Location – Boston, USA Salary – 80-100k + bonus benefits Description A leading US investment bank is seeking to expand its regulatory testing and controls group which will sit within the Compliance program and support function. This will be responsible for establishing and overseeing the compliance methodology for the business-aligned compliance teams and so will have a wide exposure across the business with multiple reporting lines. Successful individuals will be required to:Review controls Read more […]
AVP Level Compliance Testing & Internal Controls for Leading US Investment Bank | Boston, USA
AVP Level Compliance Testing Internal Controls for Leading US Investment Bank | Boston, USA Location – Boston, USA Salary – 80-100k + bonus benefits Description A leading US investment bank is seeking to expand its regulatory testing and controls group which will sit within the Compliance program and support function. This will be responsible for establishing and overseeing the compliance methodology for the business-aligned compliance teams and so will have a wide exposure across the business with multiple reporting lines. Successful individuals will be required to:Review controls Read more […]
Interim Head of Compliance- CONTRACT
Role RequirementsDevelop and maintain of compliance policies ensured to minimize financial crime risk and to ensure a solid relationship with regulatorsUndertake the FSA controlled functions CF10, CF10a CF11 Required ExperienceExtensive regulatory and legal knowledge relevant to the UK banking industry and any other relevant jurisdictionsWholesale product knowledge: treasury, banking services, lending and trade finance. Desirable Qualifications/Experience:Degree level qualification or equivalentA compliance certificate or diploma from ICA, Cergi, CII or similar OR Associate of Chartered Read more […]