Search Results
Risk & Compliance Consultant
This firmly established Investment Management firm is looking for a talented Risk and Compliance Consultant to join them on a contract basis.With a strong brand presence in the UK our client is currently looking to extend their offering across Europe and Asia.Our client operates a flat structure and the successful applicant will be given the opportunity to liaise and influence at Director Level.This well rounded role will see you implement the assurance plan and deliver value-add robust, accurate and timely risk and control review activity. Taking a corporate-wide view, proactively identify and Read more […]
Compliance & Risk Monitoring Manager
Compliance Monitoring Manager: Retail/Corporate BankBased in Manchester £500per dayReference: KESU17964 Assignment Brief: Compliancerisk monitoringcorporate bankretail bank You will support the team by:• Undertaking monitoring reviews and testing activities to a high standard as directed by the Head of Assurance and Monitoring and the Assurance and Monitoring Team Manager.• Using professional expertise to support the Assurance and Monitoring team, thereby protecting the business’s income, growth plans and vision of achieving World Class Risk Management• Monitoring the ability of the Read more […]
Compliance Officer III (Job ## 1304903 )
The diversity of thought leadership is inspiring. The experience is invaluable. And, the rewards are substantial. You’ll have access to myriad career paths in a variety of disciplines. From asset management and wealth management to securities servicing and treasury services. And, in a host of corporate support disciplines, such as finance, technology, human resources, risk, compliance, legal, marketing, communications and more.You’ll work for a company with a history of strength and integrity. And you’ll be consistently challenged in your job, collaborating on a variety of projects alongside Read more […]
Compliance Officer III
The diversity of thought leadership is inspiring. The experience is invaluable. And, the rewards are substantial. You’ll have access to myriad career paths in a variety of disciplines. From asset management and wealth management to securities servicing and treasury services. And, in a host of corporate support disciplines, such as finance, technology, human resources, risk, compliance, legal, marketing, communications and more.You’ll work for a company with a history of strength and integrity. And you’ll be consistently challenged in your job, collaborating on a variety of projects alongside Read more […]
Compliance Advisory Front Office
Compliance Advisory Front Office Headquartered in London, HSBC is one of the largest banking and financial services organisations in the world. This role will sit with in the Compliance Advisory team of the Global Asset Management business. The purpose of the role is to work as part of the Compliance Advisory team responsible for enabling designated business areas (as agreed with the Local Compliance Officer (“LCO”) to comply with all relevant local regulations, laws, codes, in accordance with Group Compliance policy. Responsibilities; Assisting line management in its prime responsibility Read more […]
Senior Compliance Manager, Conduct Risk
Leading Fund Management Firm They now seek to recruit an experienced Senior Compliance Manager to manage the team’s risk-based monitoring and surveillance of conduct risks across their entities and funds. You will lead the building and implementation of a pragmatic monitoring and surveillance programme to test compliance with all regulatory requirements.KEY RESPONSIBILITIES:Take the lead in building a comprehensive, risk-based compliance monitoring programme for each business area reflecting relevant regulatory requirements.Establish tools to aid monitoring and surveillance work, and work closely Read more […]
Logistics Compliance Analyst
CASS COMPLIANCE ANALYST£600-700 per day4-month contractLondonA Top Tier Investment Bank requires an immediately available decisive and enthusiastic Compliance Analyst to join their EMEA Logistics Compliance team.The new hire will support the team head with a specific focus on Client assets (CASS) and transaction reporting. Previous compliance analysis and advisory experience is essential, as the role requires an individual who is confident advising senior groups.The successful candidate will have previous working experience with CASS and transaction reporting rules, and should possess a strong Read more […]
CASS Custody Compliance Officer, London, 12 month contract
CASS Custody Compliance Officer, Financial Services, £400 pd, 12 month maternity coverMy client, a global Financial Services organisation, is currently recruiting for a CASS Custody Compliance Officer to work on a temporary basis on a 12 month maternity cover.Role:work closely with the local custody Subject Matter Experts who are responsible for the creation and delivery of a custody compliance program for their jurisdiction.ensure common standards and processes are appliedco-ordinate with relevant stakeholders and agree prioritisation of work and resource allocationreview relevant approvals and Read more […]
Manager, Compliance
Manager, Compliance – Fixed Income, Currencies and Commodities, Risk Management GroupEnergy Markets, Energy CapitalUpstreamElectricity DerivatesAbout the roleensuring compliance by FICC’s Australian staff with internal and external policies assisting with all general queries from the business, other compliance departments and support areas (Market Operations, Credit, Audit)reviewing marketing material to ensure compliance with relevant regulatory requirements monitoring and surveillance activitiesliaising with Macquarie’s groupwide Compliance function (internal reviews, ad hoc queries)assisting Read more […]
Compliance Advisor, Energy Trading
Global Energy Commodities Trading Firm. Reporting to the Head of Compliance, they now seek an energy commodity trading compliance professional with in-depth compliance experience (particularly from an unauthorised firm/business perspective) to develop implement compliance frameworks for regulatory compliance risk worldwide. You should have good energy market experience and enjoy operating within a Front Office trading environment.KEY RESPONSIBILITIES:Provide Compliance advice and guidance on transactions, new products business initiativesDevelop best practice policies in key areas of compliance Read more […]