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Compliance Manager/AVP
This is to work with them on a contract basis providing support in a newly formed governance and strategy team which is working to deliver change projects/initiatives and tactical solutions across individual employee compliance matters such as Personal Account Dealing (PA dealing), outside business interests (OBIs) and the giving and receiving of gifts and entertainment (GE). Role will include:•Acting as the Compliance Business SME for projects and facing off to IT change teams for process efficiency and improvement initiatives •Help to manage stakeholders and coordinate projects with the wider Read more […]
Compliance Manager/AVP
This is to work with them on a contract basis providing support in a newly formed governance and strategy team which is working to deliver change projects/initiatives and tactical solutions across individual employee compliance matters such as Personal Account Dealing (PA dealing), outside business interests (OBIs) and the giving and receiving of gifts and entertainment (GE). Role will include:•Acting as the Compliance Business SME for projects and facing off to IT change teams for process efficiency and improvement initiatives •Help to manage stakeholders and coordinate projects with the wider Read more […]
Multiple Advice Compliance Roles
This is an opportunity to join a well known financial services organisations reputable Advice Compliance team. Candidates with backgrounds in Advisor Assurance and Investigations, Complaints Management, Policy and Documentation and Regulatory Governance are encouraged to apply. This would suit candidates looking for a dynamic and improvement focused team where there is real opportunity to add value. Candidates with audit, risk and legal backgrounds will be highly regarded as well as those having commenced their careers in financial planning and who have made the transition to project and remediation Read more […]
Asset Management Global Compliance
We have been exclusively retained by our client , the asset management division of a globally renowned financial services group to identify a key individual for its London officesThe office is located in the City of London and offers a collegiate and pleasant working environmentResponsibilitiesResponsible for review and approval of marketing materialsAssist with the oversight of OEIC fundsResponsible for KYC/On-boardingSupport global projectsAssist with the research and analysis of regulatory developmentsProject work as requestedYou are likely to have at least three years of compliance experience, Read more […]
Compliance Manager
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 – Financial Promotions
A Major US Fund Manager is looking for a Financial Promotions Specialist at VP level. This is a high profile and exciting role and the candidate must possess sufficient knowledge and experience to be able to deal a wide range of products and complex issues. Responsibilities include: • Providing regulatory advice to the asset management business on the preparation and marketing of financial promotions and providing compliance sign off within the marketing approval process. This will include retail, intermediary and institutional promotions. • Advising on the marketing of alternative products Read more […]
AVP Control Room Compliance
AVP Level Control Room positionOpportunity with reputable Global Investment BankCoverage of Capital Markets Business Our client is one of the leading global investment banks, and has a strong reputation across the Asia pacific region. As part of their commitment to further growth, they currently have an opportunity for an AVP level candidate to join as a Compliance Control Room specialist within their Hong Kong team. This role will cover Equity Capital Markets and Debt Capital Markets from a product compliance perspective and will be responsible for providing training and advice on these matters. Read more […]
Digital risk / compliance (retail banking)
Digital banking / online banking / compliance / operational risk My client is a leading UK retail bank. As part of their overall digital strategy they require someone with a background in digital who can assist with the oversight of potential risks, both operational and regulatory. Whilst training and guidance can be offered on the speicifcs of regulation a knowledg eof digital and the technical risk associated is essential. The team provides second line compliance oversight to UK Retail projects, product development and sales process, identifying conduct risk and challenging standards at each Read more […]
Compliance Officer – Private Equity
The PositionThe Guernsey office for this Private Equity firm is currently going through the next phase of it’s growth, and as such has a rare opportunity for a Compliance Officer to be based in the Channel Islands. This will be a standalone compliance position reporting directly into the Head of Compliance, who is based in London. Your tasks in this role will include:Understanding Guernsey regulatory rules and ensuring Guernsey regulations are being followedMonitoring, completing checks and updating of regulatory task lists for Guernsey which lists on-going regulatory obligationsLiaising with global Read more […]
Compliance Officer
Job Title: Compliance Officer – Private BankingRoleSupport and offer consulting services to management as well as front employees in the implementation and supervision of compliance issuesPerform client onboarding including assessment of KYC and CDBProvide training and training materials in connection with Compliance topicsReview of unusual transactionsSupport internal Compliance projectsAct as centre of competence within the bank for questions from the business management in connection with Compliance issuesConduct internal investigations in collaboration with other specialist departments and Read more […]