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Central Compliance Officer
The functions of the Central Compliance team includes: Licenses and Registrations, Personal Account Dealings, Private Investments, Outside Affiliations, Gifts and Entertainment, E-Communications Surveillance, Information Risk Management (Records Management, Data Privacy, E-Discovery and Large Holdings) and Compliance Breach Escalation Management. RESPONSIBILITIES • Assist manager in executing the Central Compliance strategic target operating model. • Develop, execution and documentation of testing across various Central Compliance functions including Gifts Entertainment, Personal Investment Read more […]
Junior Compliance Officer | Systematic Hedge Fund | London
Junior Compliance Officer | Systematic Hedge Fund | LondonMy client, a forward thinking and growing hedge fund based in London, are currently seeking a exceptionally bright and talented Junior Compliance Officer to join their team.You will assume responsibility for the company’s compliance status vis-à-vis a variety of regulatoryagencies and in various jurisdictions, the principal one being the FCA. To be successful, you must be a tenacious, driven individual, who is adept at learning new skills quickly and efficiently and thrives on a challenge.Responsibilities include:** Managing regulatory Read more […]
Investment Adviser Compliance Officer
Candidate must have experience in the daily compliance functions of an SEC-registered investment adviser with significant experience in the review of performance information and track records and the drafting of policies and procedures. Candidate will assist in creating, testing and revising procedures to ensure that the firm is in compliance with applicable laws and regulations. Candidate must be with familiar the Investment Advisers Act of 1940 and related SEC regulations. Candidate will assist in preparing for SEC examinations and coordinate with internal groups in the collection of audit requests. Read more […]
Senior Compliance Officer and MLRO
A full and detailed job spec is available on request. Essentially, this is a 2-i-C to the CF10 where the successful candidate can expect to work closely with and as a peer to CF10. There is a drive and focus in the organisation to enhance the risk and compliance capabilities and this role will be essential to that process and as such, will have a key profile within the business. For further information, please contact lindsay@stephenbellassociates.com
Group Compliance Officer
A full and detailed job spec is available on request. Essentially, the Financial Planning business needs a Compliance professional who is proven, competent and articulate – a proactive motivator who is energetic and enthusiastic and takes a pragmatic and commercial approach when dealing with both the business and Senior Management. For further information, please contact lindsay@stephenbellassociates.com
AVP Compliance & Front Office Change Management – Regulatory Change
AVP Compliance Front Office Change Management – Regulatory Change – Leading Investment BankLeading Investment Bank is looking for a strong AVP Business Analyst / Project Manager with a background in Compliance, Regulatory Change around the Front Office.The position is a joint initiative between Front Office Compliance to promote an enhanced compliance culture though the bank. This will involve establishing controls around a series of key risk areas and the oversight quality assurance on front office controls on these areas.The role gives fantastic exposure to senior global heads and you Read more […]
Compliance Officer – Compliance Examinations
Compliance Officer – Compliance Examinations – EMEA and Asia Pacific, SP Capital IQ and SP Rating ServicesWith offices in 23 countries and a history that dates back 150 years, Standard Poor’s is known to investors worldwide as a leader of financial-market intelligence. SP strives to provide investors who want to make better informed investment decisions with market intelligence in the form of credit ratings, indices, investment tools and research, and risk evaluations and solutions. We are known as an independent provider of credit ratings. In 2009, we published more than 870,000 and revised credits Read more […]
Compliance Advisory
Financial Markets Compliance Advisory Assistant Manager Specific skills · Experience of working in a legal, accounting, regulatory or consulting background;· Knowledge and experience of ;· wholesale products and services together with a good understanding of how Operations works in wholesale banking environment; and· the regulatory requirements applicable to Operations functions, specifically Client Money and Custody, Transaction Reporting and Client Classification.Key accountabilities The Role · As part of the Read more […]
Investment Compliance Specialist
Responsibilities: Assist in the prevention, detection and resolution of investment issues and breaches for all funds and accounts (UCITS, Non UCITS, US RICs, Institutional mandates)Perform analysis on new rules and regulations and the impact on the business. Assist with the trade management monitoring programme for funds and accounts.Engage with Front Office IT support staff and compliance colleagues to develop reporting and system enhancements to ensure a best in class control environment is maintained.Maintain strong communications with staff in operational and control functions, e.g. Legal, Read more […]
Compliance Officer (m/w)
Mein Mandat, ein namenhafter Bankenkonzern mit Sitz in Frankfurt sucht zur Verstärkung seines Teams einen Compliance Officer.Ihre Aufgaben:Als Ansprechpartner für alle Bereiche bzgl. aller Compliance-Themenstellungen sind Sie für die Betreuung und Beratung der Mitarbeiter der Bank bei compliance-relevanten Fragestellungen aus allen Geschäftsbereichen zuständig.Sie verantworten die Analyse neuer nationaler und internationaler rechtlicher Vorgaben in den Themenbereichen Compliance, sowie darauf aufbauend die Festlegung geeigneter Umsetzungswege und die kontinuierliche Beobachtung des regulatorischen Read more […]