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VP Compliance Change Management
The candidate will be involved in a broad range of management, regulatory and project initiatives across Compliance. The role will demand regular interaction within Compliance as well as with the Front Office, Legal, IT and other external parties. The candidate should therefore be comfortable working with colleagues at all management levels and possess the necessary interpersonal and leadership qualities. The position also requires the candidate to be a strategic thinker. Role details:Establishing the Compliance Control Framework, a joint initiative between Front Office Compliance to promote Read more […]
Wealth Advisory- Compliance
Working for Wealth division of a larger Investment Bank, my client is looking for an advisory specialist on a contract basis.The successful candidate will report locally to the Head of Wealth Management Compliance UK based in London.The successful candidate will be required to undertake the following:A complete review, reconciliation and update of asset management compliance policies from a regional, group and industry best practice perspective.A complete review, reconciliation and update of compliance training to ensure it is aligned with the current and expanding business model of the firm.Assist Read more […]
Assistant Manager Employee Tax Compliance
The job holder will be assigned to prepare and submit PAYE Settlement Agreements to HMRC by mid-September and also manage the payment of liability for mid-October. In addition, the role holder will be required to download and review selected codes form the general ledger. Successful applicants will have professional qualifications: (CIMA, ACA, or similar), experience of preparing and submitting PAYE Settlement Agreement – ideally for large Organisations and will also be technically comfortable with Excel and have the ability to navigate CODA is desirable
Senior Compliance Manager / Advisory / Investment Management
The role: *Keep the business abreast of all regulatory changes and developments for their specific areas.*Ensure business individuals, including front office and infrastructure understand their regulatory duties and the implications of what they do.*Compliance oversight of product, distribution and new projects.*Compliance training and making sure all individuals are up to date with relevant regulatory knowledge.*Working very closely with senior management and all areas of asset management.*Thorough understanding of relevant FSA regulations with a particular familiarisation with investment and Read more […]
Compliance Officer (Switzerland)
Who we are Optiver is an international and innovative proprietary trading firm. We deal with highly-automated electronic market making activities. With offices in Amsterdam, Chicago, Sydney, and Shanghai, we are currently in the process of finalising the setup of our new office in Switzerland. Employing around 600 talented individuals from over 30 nationalities, we trade in more than 20 countries, across 5 continents, 24 hours a day. Optiver is operating in an increasingly complex and fast developing regulatory environment. The Compliance function is mandated to help safeguarding compliant business Read more […]
Junior Compliance Officer
Junior Compliance Officer opportunity with London based Hedge Fund Role Details:This role will be of a generalist nature and is ideally suited to a compliance assistant who has a natural and avid interest in the financial markets and financial products as well as regulation.The role will span the full spectrum of compliance duties as part of a small firm so there is opportunity to make a real impact and grow the compliance division. Duties will include: * Managing regulatory relationships with the FCA, BaFin, NFA SEC * Keeping up to date with global regulatory developments and Read more […]
Risk And Compliance Consultant
Role Responsibilities:Provide regulatory oversight and advice to ensure that the business is informed of all risksMonitor the management of Compliance and Risk related issues/breaches ensuring they are appropriately handled and resolvedEngage and effectively communicate with management and multiple stakeholdersDrive new Risk and Compliance initiatives or projects to reflect ongoing brand strategyProvide Risk and Compliance advice to advance the continuous enhancement of frameworksReport writing and presentationRole Requirements:3-5 years experience in Operational Risk and ComplianceExposure to Read more […]
Global Head of Marketing Compliance
Position Overview: The Global Head of Marketing Compliance would be responsible for leading and managing the implementation of the firm’s global marketing compliance program and advising and providing guidance to the firm’s Global Marketing and Communications group. BlackRock’s Global Marketing and Communications group prides itself on creating, communicating, and delivering BlackRock’s brand to institutional and retail clients worldwide. Unified under one Global Marketing platform, the teams specialize in a diverse range of functions to provide robust campaigns, advertising, communications, Read more […]
Head of Compliance, Asia
This is a rare opportunity to join a world class investment firm that will enable the successful candidate to have a significant impact on the future growth of the firm.Responsibilities:Manage regulatory enquiries and inspections.Interpret and implement regulatory and legal changes.Develop processes and procedures and deliver projects as dictated by changing requirements.Manage interaction and communication with trading and back-office functions.Involvement with monitoring and surveillance.Provide advice to Directors on regulatory changes.Assist Directors with drafting of contracts and other Read more […]
VP- Conformance & Compliance Testing
Responsibilities:• Completing and documenting QA and Conformance Testing work, and making recommendations for improving processes across the global Compliance function• Assisting in the execution of the global end to end process for the roll out of the annual Compliance QA and Conformance Testing Program• Working closely with the global team to execute coordinated QA and Conformance Testing amongst the three regions• Assisting with the continuous improvement of the QA and Conformance Testing Read more […]