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Senior Compliance Manager -Investments
Senior Compliance Manager – Investments (London/MK)The Compliance function has a key role in helping Santander to manage and minimise its exposure to regulatory risk. This includes working with each division to ensure that Santander remains commercial whilst protecting the best interests of our customers and maintaining a high level of integrity in complying with the requirements of the FSA or other regulators.The role-holder will be responsible for the execution of strategy and the development, management and delivery of compliance arrangements that facilitate the company’s compliance with regulations. Read more […]
Compliance Audit Manager
TDS is a leading provider of trustee and depositary services to the regulated collective investment scheme industry in the UK. We service a number of the UK’s leading Investment Managers acting as a trustee or depositary to about 50% of the UK market.Markets and International Banking is the investment banking arm of the Group, offering a broad range of services enabling major corporations and institutions to achieve their global financing, transaction services and risk management objectives. As a Compliance Audit Manager, you’ll be responsible for the planning, undertaking, and reporting of Read more […]
Advisory Compliance
This position is within the Compliance Advisory functionThe Compliance Advisory function is responsible for providing qualitative compliance advice to the various business divisions in within the EMEA region.This role is to service the Multi Asset, Client Solutions, Financial Markets Advisory and Scientific Active Equity businessesKey Responsibilities:Working with the head of the team to provide qualitative compliance advice and support to the outlined business areas and respective support functions.Working on new product initiatives and other important business projects providing timely advice Read more […]
Compliance Assurance & Monitoring Specialists
Purpose of the role:A member of the Compliance Team, which performs Compliance Assurance and Monitoring, across the CBD division. Supports the team by:Gain a comprehensive understanding of the current risk and control environment, through desktop reviews, interviews and process walkthroughs.Use a co-ordinated, consistent and effective approach to risk monitoring and quality assurance testing through the effective use of the appropriate monitoring tools to identify areas of riskUndertake planned and ad hoc assurance reviews of activities within the division, including periodic reviews of products Read more […]
Ethics & Compliance CPA/CPE Manager I
Are you interested in the opportunity to work for an industry-leading company that services Fortune 500 companies, and will give you the experience and exposure you need to build your career? If you are, then PricewaterhouseCoopers LLP (www.pwc.com/us) is the firm for you. PricewaterhouseCoopers LLP (PwC US) is well placed to help clients meet the challenges and opportunities of the US marketplace in the areas of assurance, tax, and advisory. We offer the perspective of being part of a global network of firms combined with detailed knowledge of local, state and US national issues. More than 169,000 Read more […]
Interim Head of Compliance
Must have signifcant experience of working within compliance, ideally as a Head of Compliance (10 11) , gained in a recognised funds based firm – wholesale experience strongly preferred to retail.Solid understanding of basic derivatives and their use in hedging would be advantageous.Must have strong management skills and the proven ability to interact with/engage the business and provide advice as required, as well as ensure that all day to day compliance activities are covered.Role is based in Manchester and candidates are likely to be immediately available or on short notice. Read more […]
Compliance
This is an exciting newly created senior position with our client – a reputable brand name in the financial services industry.They are seeking a highly experienced and motivated compliance practitioner with strong working knowledge of the Singapore laws and regulations to join their Asia Pacific office based in Singapore.Reporting to the Head of Singapore – Singapore, you will form part of the Compliance team committed to deliver the highest standards of compliance across all lines of their business including Investment Banking, Asset Management, Private Banking etc. Primarily, you will focus Read more […]
Manager – Investment Compliance
They are one of the most respected Investment Managers in the market and have a long and proud history. They manage in excess of £150 billion and are based in state of the art offices, close to public transport and amenities. The Role You will be working in the Investment Compliance team covering a range of products including Equity, Fixed Income and Derivatives. Your responsibilities will include: • Staff Management/Training • Management Reporting • Process Improvements • Projects Your Background • Staff Management • Investment Compliance/Guideline • Investment Management • Read more […]
Global Head of Compliance, Tokyo
Global RoleLeading Asset Manager This well known asset management house is looking to appoint a Chief Compliance Officer to oversee the group’s effective compliance programme and manage a multi-jurisdictional team of compliance professionals. You will work closely with the CEO and senior management providing compliance input on a range of issues as well managing relationships with regulators in a number of countries. You will need experience of successfully acting as a senior compliance officer for an investment management Read more […]
VP /SVP, Compliance Risk Review
Hong KongLeading Global BankNewly created positionRegional coverageCompetitive packageContinued growth in the region has created a need for a dynamic individual to join their Asia Pacific Compliance Risk Review team.The RoleReporting to the Regional Head of Compliance, your key responsibilities will include:Managing a small team of Compliance Review managers to undertake on-site risk based compliance reviews in accordance with an established review schedule, budget and key risk indicators.Engaging and partnering with business advisory compliance colleagues in the region to undertake these reviews Read more […]