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Investment Compliance Contract
Compliance Analyst opportunity to work in a broad and varied Investment Compliance role, for an established Investment Management firm based in LondonRole Details * This will be a contract role for either 6 or 12 months depending on the level of the successful candidate. * Develop, manage and monitor automated compliance systems including rule coding and testing. Develop manual monitoring for rules that the system is unable to cover. * Perform analysis on new rules and regulations and the impact on the business. * Engage with Front Office IT support staff and compliance colleagues Read more […]
Regulatory Compliance Liaison
Responsibilities Apply a working knowledge of the US regulatory compliance requirements in a financial services organization.Apply Self Regulatory Organization (SRO) oversight for SEF members.Recognize compliance and operational risks in the compliance system and business processes.Develop and implement preventative compliance controls as part of the policies, processes, procedures and self-assessments.Conduct compliance reviews of business units to identify potential breaches of compliance requirements and propose remedial actions.Identify gaps in the compliance program and participate in developing Read more […]
Compliance Advisory Executive
OUR CLIENTThe Corporate and Investment arm of a top European bankTHE ROLEThis role is primarily responsible for Business advice and assistance to Global Markets business lines as directed by the Deputy Head of Capital Market Compliance such as Origination, Syndications, Credit and Rates, Structured Products, FX and Treasury.Key Responsibilities: 1 Compliance Advice and Queries * The incumbent is responsible for the overall compliance and day to day advisory activities in the Investment and Corporate bank in theUKin relation to the capital markets business and as directed by the Read more […]
Compliance Operations Manager
*** Hong Kong Based Position ***Compliance focused operations managerFX Execution FocusThis is a fantastic opportunity for a compliance manager, seeking to join the growing Hong Kong office of a global, specialist FX sales execution business. The ideal candidate would come from a strong compliance background with a focus on operational support within a retail financial markets style business. Our client is a market leading FX sales, broking and execution business globally and have been very successful with building their business in Asia-Pac. As such, they are seeking to recruit a Compliance Read more […]
Compliance Services Manager, Hitchin
OUR CLIENTIs an established consultancy firm which was incorporated in 2003 and has grown over the past 10 years to become a significant player in the compliance market place with offices in Hitchin, (London), the North East andWest Midlands. It provides comprehensive regulatory compliance services to the investment, Asset Management, Insurance and Payment Services markets. THE ROLEThe firm is looking to recruit a Compliance Services Manager in the retail market, based in the Hitchin office reporting to the Directors. The role requires an experienced compliance professional, preferably Read more […]
Data Privacy and Compliance Counsel
OUR CLIENTA Nasdaq listed leading provider of information technology, consulting, and business process outsourcing services with global headquarters in the USA .THE ROLEAs Data Privacy and Compliance Counsel, this role will sit within the EMEA legal team which is an integral part of the continued growth of this organisation’s EMEA operations. Reporting to the General Counsel for EMEA, this role will work within the EMEA legal team and will work closely with the wider global legal and compliance team and other parts of the business including client facing, global information security, Read more […]
Compliance Manager
OUR CLIENTAn International alternative asset management company based in the West end ofLondonTHE ROLEThis is a permanent role working closely with the Head of Compliance and the senior manager for compliance monitoringKey Responsibilities: * Daily monitoring of long and short position disclosures for global jurisdictions * Working closely with IT on automation projects for daily monitoring * Monitoring short selling rule developments * Alpha capture – daily review of trade ideas from brokers and system automation development * Global training for firm * Annual certifications; Read more […]
Compliance Monitoring
Cameron Kennedy Cameron Kennedy provide recruitment services across I.T., finance, accountancy, risk, quantitative disciplines, audit, compliance, analysis, back and middle office operations in London and the UK.
Compliance Control Officer
Our client requires a Compliance Control Officer for their London Branch – specialising in Corporate Banking – Banking and FX payments (forwards/options) – European wide, which falls under the MiFID regulatory obligations. The incumbent 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 for the escalation of any breaches or breakdown Read more […]
Futures Surveillance Compliance Officer
Our client is a global bank. They are looking for a VP and an AVP to run and develop their futures and derivatives surveillance platformDuties: * Covering the developing futures business in Europe; * Assist the EMEA and Global Head Surveillance in forming the strategy of the compliance monitoring program and its implementation; * Operate a monitoring program which covers the key conduct of business, systems and controls, market abuse and exchange specific rules applicable to the growing business; * Ensuring that day-to-day monitoring is completed to the requisite standard, issues Read more […]