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Compliance Analyst/Officer MIFID
Within Europe the businesses are triggering comprehensive regulatory and compliance obligations according to MiFID (Markets in Financial Instruments Directive) and WAG (Wertpapieraufsichtsgesetz 2007) as well as local regulations in the case of branches in various European countries. The candidate is in charge of Business Continuity Management for the UK Branch, including testing and reporting to senior management, has oversight of end to end UK Options process identifying any breakdown in controls and correction to processes following control or process failure (MiFID task) and is responsible Read more […]
Private Retail Banking Compliance Officer
A leading and reputable Private Bank based in the City of London, require a Compliance Officer to join their business, with specialist knowledge of high net worth retail banking. The role sits in a medium sized compliance team, reporting directly in to the Deputy head of Compliance. The role is generalist in scope and offers the opportunity to work alongside, offering compliance assurance and advice, to one of the best-regarded Private banking and wealth management front office teams in London.For this role it is required that you have up to date working knowledge of applicable UK banking Read more […]
Fixed Income Compliance VP
Our client is looking for an experienced Fixed Income Compliance VP, the individual’s responsibility includes but is not limited to the following:Provide advisory coverage for the fixed income sales Trading desk on transactions, trade issues, compliance policies and procedures, and regulatory requirementsActive pragmatic involvement with business partners on new product initiatives to drive compliance issues and considerationsConduct monitoring and surveillance of tradesInteract and manage relationships with regulatory agenciesMonitor for new regulatory developments and determine their impact Read more […]
Global Chief Compliance Officer
The ideal candidate will be a highly regarded professional in the global compliance community who exemplifies the appropriate “tone from the top,” an effective coach (leader/manager), and a team player. This candidate will have a reputation for impeccability and integrity as well as a track record of success in developing and implementing the compliance function across offices and jurisdictions. The candidate should be attuned to issues of reputational risk, and have demonstrated the exercise of sound judgment unvarnished by ego or by the momentum of immediate events. He/She will have significant Read more […]
Senior Compliance Monitoring Manager
The Opportunity:• This is a dedicated role concerned with the implementation of the accurate and effective capture of client and fund mandates into LZ Sentinel • Working within a high profile and well respected team / business function, this position has lots of exposure to the business, namely fund managers, transition teams, product management, compliance etc. This team is considered the “subject matter expert” within the business and the profile of the members is high • A large proportion of your time will be spent ensuring the smooth running of the transition process, ensuring that Read more […]
Senior Compliance Officer
Senior Compliance Officer – Investment ManagementThe Role: This role is going to suit an ambitious compliance person with lots of energy, personality and gravitas as the successful applicant will be working across the business and closely with senior management in a broad role.* Providing compliance advice to all business areas ensuring relevant awareness. * Assist the Head of Compliance with regulatory visits * Review and maintenance of policy and procedures * Compliance input in relation to new product launches * Regulatory change and development advice across the business, including senior Read more […]
Control Room Research Compliance Manager
Responsibilities will include:*Provide advice on compliance issues relating to Research and other similar products;*Evaluating, revising and/or developing global policies and procedures as required to enhance Research compliance and meet changing regulation;*Global coordination around cross border research issues;*Communication and maintenance of conflict disclosures;*Conflict check vetting and management as it relates to Research;*Implementation, communication and advise on research restrictions and watch list Surveillance;*Advise relating to wall crossings of Research staff ;*Monitoring and testing Read more […]
Control Room Research Compliance Manager
Responsibilities will include:*Provide advice on compliance issues relating to Research and other similar products;*Evaluating, revising and/or developing global policies and procedures as required to enhance Research compliance and meet changing regulation;*Global coordination around cross border research issues;*Communication and maintenance of conflict disclosures;*Conflict check vetting and management as it relates to Research;*Implementation, communication and advise on research restrictions and watch list Surveillance;*Advise relating to wall crossings of Research staff ;*Monitoring and testing Read more […]
VP Compliance Manager
Managing the UK Liquidity Solutions Compliance coverage, which includes coverage of On-balance Sheet products such as Demand Deposits Accounts and Cash Concentration products, and Off-balance Sheet solutions, such as investments into Money Market Funds, the key – but not exclusive – responsibilities of the role include:Provision of advice and interpretation on a wide range of regulatory and firm policy issuesOversight of the Compliance AVP providing supporting coverage of Liquidity SolutionsCoordination of regulatory visitsKeeping abreast of regulatory and legislative changes and providing advice Read more […]
Compliance Advisory Partner – Manager – Private Side
The Capital Markets teams cover: Corporate and FI DCM; Bond Syndicate; Asset-Backed Securities; Risk Management Solutions (hedging via long-dated derivatives and balance sheet optimisation); Syndicated Lending (including Project Finance and Acquisition Finance). As part of the Wholesale Specialist Compliance function the Private Side Advisory Compliance team are an integral link to the other Compliance teams to ensure that regulatory risks within the teams operating on the private-side of the Chinese Wall are understood, monitored and appropriate risk mitigation strategies developed.CORE Read more […]