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Compliance Manager
My client a successful and leading household name Investment Manager is currently looking for an additional Compliance Manager to advise in relation to a range of products and services some of which are listed below:-· Index funds;· Active Fixed Income;· Active Equities;· Authorised finds – including unit trusts and OEICs;· Insurance funds;· Liability Driven Investments;· Central dealing.Reporting into the Chief Compliance Officer, the Compliance Manager will be responsible for pro-actively ensuring the highest standards of compliance within the business areas are met if not surpassed. Read more […]
Compliance Officer (no2)
plan. You will play a key role in ensuring the business is updated in regards to and upcoming requirements from an FSA, Lloyds and European perspective, as well as, provide advice and guidance to the business and updating policy and procedure where necessary. Further, you will undertake monitoring to ensure compliance with all relevant regulatory requirements and best practice. In addition, you will assist in managing the firms regulatory relationship and be involved in all relevant internal committees. The right person for this role will have broad and generalist compliance or regulatory experience Read more […]
Compliance Monitoring Officer
of the businesses Compliance objectives. You will achieve this via designing and implementing an effective Compliance Monitoring / Assurance programme. You will work across the business and be responsible for providing assurance to the Head of Compliance on the effectiveness of internal policies, execution of Risk Mitigation Plans, compliance with all external regulatory requirements and the internal control environment. You will also play a key role in developing systems to capture MI and collate this information to improve internal systems and controls. The right person for this role will have Read more […]
Junior Compliance Assistant for rapidly expanding Investment Management Firm | London, UK
Junior Compliance Assistant for rapidly expanding Investment Management Firm | London, UK Salary – 30k + benefits bonus Description A leading investment management and brokerage firm is looking to expand their compliance function to mirror expansion across their front office. The role will report into the CCO and so will have ample exposure to multiple reporting lines and facing with senior management. The role will involve supporting the compliance group in their regulatory duties as well as providing advice, support and oversight to the regulated business activities of the firm. This will Read more […]
Risk and Compliance Adviser
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 presentation Role Requirements:3-5 years experience in Operational Risk and ComplianceExposure to Read more […]
Senior Compliance Executive
OverviewThis is a fantastic opportunity for an experienced Compliance professional, with at least 3-5 years experience in Financial Promotions, to join a forward thinking organisation.Key experienceProviding regulatory advice to the asset management business on the preparation and marketing of financial promotions and providing compliance approval within the marketing approval process.Analysing the impact of new regulations to assist the business in its preparation for regulatory changes. Approving financial promotions, ensuring adherence to regulations in all relevant jurisdictionsProviding compliance Read more […]
Compliance Manager
Our client, a Global financial institution is looking for a Compliance Sanctions Manager within their MLRO function to join their compliance department. The individual would help provide support, guidance and advice to the business and senior management to develop and maintain regulatory standards to enhance and protect the reputation of the firm.Duties Include:· To be responsible for looking after sanctions regimes across all the business lines.· Liaise closely with relevant businesses and ensure that they comply with Sanctions imposed by the UK/EU/UN/US.· Read more […]
Trade Compliance
Trade Compliance A top asset manager inBostonis adding to its Trade Compliance team, which is responsible for applying, monitoring and enforcing the compliance rules and guidelines of the firm and its clients. This role will require the performance and oversight of daily data integrity checks to ensure that the firm’s accounting and trading records are accurate. The individual in this role should have a firm grasp on equity and FX trading operations, corporate actions and the trade settlement process.Job responsibilities include: Ensure that all portfolio holdings and expected trades meet compliance Read more […]
Marketing Compliance Registered Principle
Position Category: Investment/Asset ManagementPosition Title: Marketing Compliance Registered PrincipleJob Level: Vice PresidentLocation: USA – NY – New YorkEducation Required: Bachelors DegreePosition Description:Morgan Stanley Investment Management (MSIM), together with its investment advisory affiliates, has 563 investment professionals around the world and $338 billion in assets under management or supervision as of December 31, 2012. MSIM strives to provide outstanding long-term investment performance, service and a comprehensive suite of investment management solutions to a diverse client Read more […]
Investment Compliance Analyst
A well establish Asset Management firm with a strong presence worldwide is looking for an Investment Compliance Analyst with previous experience on pre and post trading monitoring and regulatory advise.The role holder will have previous exposure with investment products as equity and fixed income and will provide support and advise to the back and front officers, enhancing a compliance internal culture assisting in the monitoring of all institutional and retail accounts.The role holder will have previous experience in compliance monitoring and advisory using Asset Management platforms.The role Read more […]