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International Compliance Officer – Asset Management
The role:· Conducting global reviews ensuring compliance with rules and regulations with the relevant jurisdictions· Develop and maintain knowledge of the regulatory requirements and environments across Europe, US, Latin America and Asia.· Lead and take part in the planning and execution of compliance checks including: collaboration with local senior management, compliance, legal and other key personnel;· Prepare regulatory compliance risk assessments; design and performance of appropriate reviews/tests; report writing and follow Read more […]
Risk & Compliance Director
The RoleReporting directly into the CEO and providing oversight for a team of Anti-Fraud and AML specialists, you will be responsible for –Identifying and maintaining oversight of all key operating/regulatory risk and compliance obligationsCreating, and monitoring operational policies for managing fraud, risk and compliance, and provide guidance on interpretation at board, management, commercial and operational levelsTaking on the formal responsibility for financial regulatory oversight including formal MLRO responsibilitiesOverseeing the risk and compliance management activities to ensure that Read more […]
VP Securities Compliance Officer
Within this role you would advise on including trade reporting, underwriting, Rule 10b-18 buy back programs, Reg. SHO, securities lending, best execution, mark-ups/mark-downs, testing and monitoring.You would be responsible for the following:Conduct surveillance of equity transactions for the market abuses and compliance with supervisory requirements.Advise on globally branded research issues including Rule 2711, Reg. AC, and developing appropriate disclosures and disclaimers.Advise on Rule 15a-6 and administer procedures controlling activities of foreign affiliates in the US.Advise on equity capitalmarket Read more […]
Senior Compliance Testing Officer
Our client is a well-established international financial institution and is investing resources in its Compliance Testing and Control function. You will be performing periodic testing reviews of the compliance control framework. The objective of these reviews is to ensure compliance with internal and external policies and procedures and with laws and regulations. Focus will be on control activities within and across the business lines, and in related support activities. Please contact us for more information.
Sales and Advertising Compliance Analyst
The Compliance Analyst will be responsible for assisting in the compliance reviews of mutual fund and SMA marketing material, coordinate and monitor FINRA filings, act as a liaison between marketing and legal/compliance, and ensure all regulatory comments are addressed. The qualified candidate will possess: * At least two years of of compliance experience * Strong knowledge of broker-dealer and investment advisor advertising rules * Excellent communication skills
VP Compliance
The ideal candidate will be able to maintain regulation updates and assess the impact on business and support managers in implementing changes to products, services, systems and operations to ensure and sustain the Reg. W Operating model. The ideal candidate must be able to:* Provide Regulation W subject-matter expertise to business lines in evaluating and assess potential covered transactions relating to Sections 23A or 23BMonitor the development of the Dodd Frank Act pertaining to derivative, repurchase agreement and private equity/hedge fund classification* Assist functions in assessing potential Read more […]
VP Bank Regulatory Compliance
Responsibilities:* Research, analyze and explain new/updated regulations affecting the firm and its’ functions. * Draft and develop various controls, procedures and policies to maintain compliance with all regulations. * Interact with various regulatory agencies – FDIC, FRB, etc. * Manage the Federal Reserve exam process including inquiries, follow-up, etc. * Status tracking and reporting of various issues. * Lead training events which will provide continuous education on up-to-date regulations.We are looking for an individual who can demonstrate a passion for compliance. In addition you will be Read more […]
Testing Compliance Officer
Within this role you would assist with the following acitivies: * Management and execution of compliance monitoring activities on a risk-assessed basis and escalating any exceptions and/or issues. * Ongoing development and implementation of a comprehensive compliance program. * Performance of the annual risk-assessment of laws and regulations in support of the compliance testing and monitoring framework. * Annual policies and procedures reviews and revisions and development of new policies and procedures, when applicable. * Monitoring of all regulatory changes, ensuring communication of new requirements, Read more […]
Head of GBM Compliance Market Abuse Surveillance IT
Programme manager, project manager, actimize, redkite, wolters kluwer, surveillance, IT, stakeholder, investment banking, compliance systems, regulatory systems, sharepoint, My client is looking for a new head of compliance market abuse surveillance IT. The job holder will be either an IT programme manager or project manager and have experience implementing compliance and regulatory systems, more specifically Actimize. Knowledge of SharePoint is required as well as having an up to date knowledge of the compliance climate. The successful candidate will be responsible for the market abuse surveillance Read more […]
Group Compliance Manager
Oversight, compliance advice and monitoring. Covering all areas of the FSA Handbook and Joint Money Laundering Steering Group GuidanceRisk and compliance monitoring, review and sign off of financial promotions and record keepingSupporting the Money Laundering Reporting Officer (MLRO)Supporting the Training Competence regime including inductions, training and providing materials and procedural knowledge for the businessAssisting in the preparation of information required for the Executive Committee, Board meetings and audit committeeAd hoc projectsTo be considered for this role you will need Read more […]