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Compliance Manager II Job
Compliance Manager II (Job Number: 1303812)DescriptionThis position will be dedicated to the oversight of adviser compliance for MBSC, a registered investment adviser.Responsibilities will include:· Developing and maintaining Compliance Program for MBSC consisting of:-Policies and Procedures adequate to prevent violations of federal securities law-Procedures adequate to comply with BNY Mellon corporate policies- Testing Program to assess compliance with policies and procedures-Formal written annual review of the Compliance Program for MBSC in accordance with SEC Rule 206(4)-7· Providing Read more […]
Sentinel Compliance Monitoring
Sentinel Compliance Monitoring An opportunity has arisen with a Global Asset Manager. The role will be to safeguard the fund management process by controlling and effectively mitigating portfolio risk. The successful candidate will join the team working on a newly established pre and post trade guideline monitoring function. Establishing procedures and protocols for pre and post trade compliance oversight, initially for Fixed Income via the Sentinel compliance system. Interpretation of investment restrictions for Funds (Regulatory, Prospectus and Internal restrictions) and Segregated Read more […]
VP, RIA Compliance
Manages RIA Compliance staff; manages and directs the registrations of TFA as an investment advisor, its representatives as investment advisor representatives (“IARs”), and its branch offices with all states and required territories ensuring compliance with Federal and State laws; develops and implements TFA’s investment advisory policies and procedures as required by the SEC and state laws; assists TFA’s Advisory Services Department with the review of TFA’s advisory programs; manages review of advisory program materials and coordinates review of such materials with TFA’s Legal Counsel; develops Read more […]
Senior Compliance Advisory Officer
Our client, a global financial financial institution is looking for a senior compliance advisory officer to provide advice, guidance and support to their investment banking business focussing on their corporate finance activities and reporting directly to the Head of Investment Banking Compliance. The individual would help to mitigate regulatory risks to protect and enhance the reputation of the firm.Duties Include:· Point of contact for business in regards to regulatory and transactional advice.· Provide regulatory input and advice in the development of new products and services· Provide Read more […]
Compliance Officer/Operating Officer
ABOUT TOWERS WATSONTowers Watson is a leading global professional services company that helps organizations improve performance through effective people, financial and risk management. With 14,000 associates around the world, we offer solutions in the areas of employee benefit programs, talent and reward programs, and risk and capital management. The BusinessTowers Watson Capital Markets (TWCM) Inc., is a wholly owned subsidiary of Towers Watson that advises clients in the areas of risk-linked securities, retirement risk transfer transactions and asset risk management services, including evaluating Read more […]
Compliance Officer
Our client is a growing hedge fund house which focuses on global and alternative investments across the regions. They are looking for a high caliber candidate to handle primarily the compliance responsibilities. Key responsibilities: Communicating with local Regulatory Authorities to ensure compliance with relevant statutes.Responsible for working with outside counsel to establish the business, obtain all necessary licences, set up internal compliance systems, undertaking all reporting to MAS and providing all legal advice with respect to brokerage and investment banking operations including Read more […]
VP, Product Compliance
• Major Global Bank • Private Wealth Management • Discretionary Products Our client is an established global bank with significant presence in Asia Pacific. The bank has a great reputation for encouraging professional development, internal mobility as well as a culture which promotes creativity and innovation. This is an exciting role where you will support the bank’s private wealth management business in providing product compliance advice to the business. You will advice on Asia Pacific regulations that impact funds distribution or offer of discretionary managed account services. This Read more […]
Compliance Manager
My client a successful and leading household name Investment Manager seeks an additional Compliance Manager to advise the business(es) in relation to a range of products and services some of which are listed below:– Unit Linked Funds· Index funds;· Fixed Income;· Equities;· Authorised finds – including unit trusts and OEICs;· Insurance funds;· Liability Driven Investments; Reporting into the Chief Compliance Officer(CCO), the Compliance Manager will be responsible for pro-actively ensuring the highest standards of compliance within the business areas are met if not surpassed. The main Read more […]
Compliance Review
Talk to a consultant Talk to Katherine Lord, the specialist consultant managing this position, located in London Contact consultant ttelephone:0203 465 0110 ffax:020 3465 0003 5th Floor, 107 Cheapside, London, London, United Kingdom, EC2V 6DB
Mortgage Compliance Analyst, WMA Banking & Trust Compliance Group
As a Mortgage Compliance Analyst covering UBS Bank USA, you will have the opportunity to contribute to the compliance framework, which will include regular interaction with business partners, senior management of UBS Bank USA, and partnering with stakeholders from various business and control functions to ensure that UBS Bank USA remains in compliance with all applicable banking laws and regulations. Key Responsibilities: Development of policies and procedures for UBS Bank USA On-going monitoring and testing of UBS Bank USA to ensure compliance Conducting compliance-related training for UBS Read more […]