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Regulatory Developments (Compliance)
Our client is a well-established corporate investment bank based in the heart of the Square Mile Employing around 80 people it maintains a strongly collegiate working environment It has an immediate opening for an experienced compliance professional within its team , with a focus on the Regulatory Landscape A specification is available from Fergus Hooley , however the key responsibilities will include , inter alia : *Monitor the regulatory landscape relating to the business of the bank focusing on the UK and EU*Analyse and assess the impact of rules and regulations on the firm *Design Read more […]
Deputy Head of Legal and Compliance
will also ensure the business are aware and updated on any changes in legal or regulatory requirements, including their implications for the business. You will negotiate, draft and review all contracts and legal documentation, as well as, owning responsibility for data protection. The right person for the is role will be a UK qualified practising Solicitor. Relevant experience gained within an in-house Insurer would be highly desirable. A depth and breadth of Compliance and Legal requirements is essential. Previous experience of reviewing and preparing contracts and internal policy is highly desirable. Read more […]
Operational Risk & Compliance Officer
Operational Risk Compliance OfficerGlobal Banking InstitutionLondon I am currently representing an outstanding Global Bank who are currently looking to enhance their Risk and Compliance function. Operating in niche markets across Corporate Banking and Capital Markets, they are a leading institution in their areas of specialism, and have been recognised both in the UK and globally as a high-performing bank. Due to their continued growth and aim to increase their market presence responsibly, they are expanding their risk and compliance team with additional headcount. This position will Read more […]
Bank Regulatory Compliance
The team provides US bank regulatory compliance coverage for the firm’s investment banking and Wealth management businesses and activities impacted by U.S. Banking rules and regulations. The BRC group provides advice and support to compliance colleagues and to business areas on relevant bank and bank holding company rules and regulations including applicable State banking requirements, and applicable Federal banking requirements (including Federal Reserve regulations and, as appropriate, rules of other federal banking agencies). BRC also provides guidance an advice on safety and soundness Read more […]
Financial Crime Compliance
The ideal candidate will advise compliance management on potential client and/or transaction risk by conducting on demand due diligence research and analysis of information obtained from media and other sources. RESPONSIBILITIES Assist in the review of high risk prospective and existing clients, FCC-driven risk escalations, negative media alerts and PATRIOT Act Certification escalations for the CIB client base, and as needed, for business introducers, charitable contributions, etc. Compilation of standard due diligence work product and analysis, including review of public records, legal and Read more […]
Senior Compliance Manager, TCF, European Bank
Senior Compliance Manager, Customer Treatment, London A European bank inLondoninLondonis seeking a Senior Compliance Manager to lead the Customer Treatment Team on Conduct Risk and Customer Treatment issues including providing guidance around delivering FCA’s Treating Customers Fairly (TCF) Outcomes, oversight of complaints handling, oversight of product governance arrangement and the review and approval of financial promotions. Responsibilities: -Implement a compliance strategy around Conduct Risk and associated customer treatment.-Provide guidance to the business areas regarding the definition Read more […]
Senior Compliance Officer
The Company:A market leading global alternative asset manager that provides investment offerings through established funds and bespoke portfolios.The Role:Responsible for the day to day compliance related activities for the Group’s offices in the UK, Europe, and Asia under the oversight of the Director of Global Compliance and Compliance ManagerSpecific Responsibilities include:Reviewing new rules and regulatory changes impacting the company’s offices outside the US including providing a summary of the changes and proposed action plans.Regulatory Filings including oversight on all regulatory Read more […]
Business Analyst (Compliance Technology)
Directs and monitors all activities for large, high risk, major Regulatory technology-based projects from initiation to delivery. Projects cross platforms, applications, and/or business lines for Compliance related issue. Works with business partners to develop technology concepts, requirements, design alternatives, project schedules, and costs for new Compliance Regulatory systems initiatives. Plans and directs complex Regulatory projects schedules and budget, monitoring project status in comparison to cost/time projections. Provides consistent and comprehensive status reports, project updates, Read more […]
Compliance Officer
Talk to a consultant Talk to Philip Charsley, the specialist consultant managing this position, located in London Contact consultant ttelephone:020 3465 0110 ffax:020 3465 0003 5th Floor, 107 Cheapside, London, London, United Kingdom, EC2V 6DB
Recruitment Consultant – Compliance
Job DescriptionReporting to the Team Manager, you will be working on both permanent and temporary vacancies and will be responsible for the full 360 recruitment cycle.Desired Skills ExperienceRecruitment experience – financial services knowledge is essentialProven networking skillsFocussed and self-motivated (someone who doesn’t want to be micro-managed)Ambition to develop new service offerings.Company DescriptionCompliance Professionals is a specialist recruitment consultancy providing tailored recruitment solutions to Compliance, Risk Audit Departments throughout regulated and non-regulated Read more […]