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Head of Risk and Compliance Monitoring-Investments
It is essential that you have had previous Risk experience from the Investment and or Wealth Management sectors Once the risks have been identified, assessed and evaluated go on to implement processes and procedures to ensure that the Group is fully prepared to deal with any potential threats. Assist business unit heads to maintain their part of the risk register ensuring that risks, potential outcomes, controls and mitigating factors are all recorded on the system and that business unit heads regularly review and update the entries.Liaise closely with Internal Audit, Compliance Monitoring and Read more […]
Head of UK Compliance
A distinguished and well regarded Wealth Management company based in the heart of the West End of London require a Head of Compliance for their UK business. Reporting directly in to the Head of European Compliance and the CEO you will be responsible for the management and day to day running of the compliance function relative to the UK business. This role will hold the CF10/10a/11.The company are long established, and are currently in the midst of an organic growth phase. The company focus on High and Ultra High net Worth Wealth Management predominantly�across Europe.�They would be considered Read more […]
Compliance Officer – Bespoke Systematic Trading Hedge Fund
The successful client will work in a decision making capacity and managing key relationships with the FCA, BaFin, NFA and SEC. Candidates are expected to also have experience with European regulatory guidelines (ESMA) and also appreciate/understand similar requirements relative to the USA. Candidates will be in charge of providing reports to the necessary bodies as well as implementing and advising the firm on new regulatory changes and the procedures they should have in place to adhere to this. My client is looking for someone that can provide ideas on how to improve processes and direct the Read more […]
Legal and Compliance Analysts
This Top Tier Investment Bank is looking for a number of Legal and Compliance Analysts to provide legal and compliance support to a banking integration project which is taking place after an acquisition. Responsibilities include but are not limited to: *Advising on application of relevant regulation and policy to integration process *Assisting the with ad hoc tasks on the project The successful candidate is likely to have: *A Compliance or Legal background *Experience working in Private Banking or Wealth Management context *Significant experience working in a law firm, in-house Legal or Compliance Read more […]
Senior Compliance Officer
This position will involve you taking a lead on developing the financial crime team and supporting all matters relating to financial crime, including producing the annual MLRO report and ensuring process and procedures relating to financial crime are appropriate.Working with the MLRO on investigations of suspicious incidents and suspicious activity and report where necessary.Advise the business in regard to financial crime and reputational risk issuesFor more information, please send in your resume to stuartvines@taylorroot.com Please note our advertisements use PQE/salary levels purely as a guide. Read more […]
Compliance Officer (CF10/CF11)
The RoleReporting into senior management, you will be responsible for:Managing the regulatory relationships with the FSA SECKeeping up to date with global regulatory developments and updating internal policies and proceduresProviding compliance reports to Regulatory Bodies and relevant BoardsImplementation and on-going enhancement of the compliance monitoring programmeProviding accurate and timely advice to relevant business areasReviewing marketing and client documentationProvision of monitoring and execution functions relating to anti money launderingOversight of personal account dealing and Read more […]
Head of Compliance and Client Investment Advisor
(1) HEAD OF COMPLIANCEExcellent Opportunity For An experienced Head of Compliance To Join A Specialized Boutique Wealth Advisor.Reporting to CEO, you will be responsible for the compliance function of the organisation. Job responsibilities:Provide compliance advice with regard to the applicable rules and regulations of private wealth management from a Singapore perspective, or as it impacts the Singapore business.Develop and implement a compliance monitoring program in accordance with the regulator’s requirements and the company’s policies, maintain the compliance program manual, undertake Read more […]
Compliance Review Panel Member
JOB PURPOSEApplications or nominations of candidates from Asian Development Bank (ADB) non-regional member countries are invited to fill a part-time position on the ADB’s Compliance Review Panel (CRP). The Asian Development Bank’s vision is a region free of poverty. Established in 1966 and headquartered in Manila, Philippines, ADB’s multicultural staff come from over 50 member countries.The CRP is an independent mechanism reporting to ADB’s Board of Directors. The CRP investigates complaints from people affected by an ADB-assisted projects and determines whether any harm was caused due Read more […]
Financial Promotions Compliance Consultant
Our client is a market leading, global, large scale Fund Manager. They are looking to hire a Marketing Communication Financial Promotions Compliance Consultant.This is a new hire in a highly productive team, you will be working for a firm with a fantastic brand, image and reputation. They have a well recognized, diverse product range which is well know for high performance.You role will be key in approving the financial promotion for the EMEA and Asia. You will be working closely with the communications (PR/ Public Relations) and marketing team, offering them support, guidance and advice based Read more […]
Compliance Monitoring Consultant
This firmly established boutique asset management firm is looking for a talented Compliance Monitoring Consultant to join them.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 assess operational compliance performance and produce and communicate balanced reports of the findings. Also the successful candidate will present findings to senior stakeholders and the wider business.By joining the firm as a compliance monitoring consultant you will be joining a team of top class Read more […]