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Asset Management Compliance Officer
Our Client seeks a compliance officer to assist its Head of Compliance with investment compliance and business compliance.You will be expected to take on the basic administration of the compliance function and to execute and develop the day to day monitoring and surveillance as well as to contribute to the formulation of the firm’s compliance strategy and policy development.Your primary duties and responsibilities:In relation to investment compliance: * Monitor on a daily basis the compliance of trading on client accounts and investment funds with applicable investment restrictions, Read more […]
Investor Solutions Compliance Advisory
Our Client is a top tier global investment bank looking for an Investor Solutions advisory specialist to join the existing team. The role is ideal for someone looking to broaden their skillset from a larger bank and develop their career in a busy department.Duties will include: * Establishment and ongoing development of the Global Retail Distribution Framework across asset class, including but not limited to:- Drafting, issuing and updating the Global Retail Distributor Policy and related Guidelines- Coordinating development of and implementing the distributor workflow tool – The Read more […]
Senior Compliance Officer Asset Manager
Role Overview:Providing support within the Compliance Department which is responsible for providing compliance advice and support for the fund managers, analysts, marketing, sales and product development teams.Primary Responsibilities: * Lead the Compliance Monitoring Programme * Provide day to day advisory assistance * Work with and provide guidance to more junior members of the team on all compliance matters * Ensure all compliance policies and procedures are up-to-date and that new procedures are written where necessary * Assisting the Head of European Compliance with the implementation Read more […]
Senior Compliance Risk Analyst
An international bank is searching for an experienced compliance risk analyst to join their European team based in Munich. Aufgaben- selbständige und eigenverantwortliche Vorbereitung, Durchführung und Nachbereitung von bankweiten Compliance Risikobewertungen in einer Vielzahl von regulatorischen Bereichen – Ansprechpartner der Holding zu allen Fragen rund um die Durchführung der Risikobewertungen – selbständige und eigenverantwortliche Reportingerstellung für Vorstand, AUfsichtsrat, Bereichsleitung, Holding, BaFin, Wirtschaftsprüfer Read more […]
Senior Compliance Advisor
VP Level Senior Compliance Advisor/MLRO required for Jersey arm of Global Investment Bank Role Duties: * Based in Jersey, this role involves providing Compliance coverage for the Bank’s Asset Wealth Management Division and the Corporate and Alternative Funds Services Divisions reporting directly to the Bank’s Head of Compliance. * Providing compliance advisory services to staff and Management across these business divisions as required; * Developing effective consultative partnerships with the Heads of Business, Channel Islands Management and Group colleagues; * Ensuring appropriate Read more […]
AML Specialist, Law firm Compliance
As AML Advisor, the focus is primarily on undertaking the technical, judgment and decision based work of the team, including: Advising all fee earners (in consultation with MLRO if necessary) on ongoing monitoring obligations, including high risk and enhanced monitoring together with the firm’s processes for client and matter monitoring. Providing advice and support on complex compliance and regulatory client due diligence queries. Supporting the MLRO, LRAs, Director of Risk and Compliance Auditor on related projects and AML investigations. Assisting the MLRO/LRAs with the monthly Read more […]
Conflicts Analysts, AML Specialist, Compliance, Risk, AML, Law firm Compliance
Added March, 07, 2013 9:04 AM
Compliance Specialist
OUR CLIENTA payments company based in Central LondonTHE ROLEThis is a permanent role for a Compliance Specialist to join the team and support the Compliance Director for Northern Europe in their Londonoffice. This role is responsible for operational support duties of the Compliance Department and a ssists in originating, implementing and maintaining the Company’s compliance programme to ensure conformity and adherence with all applicable laws and regulations.Key Responsibilities: * Regulatory requirement to manage the European licensing and registration duties * Maintain internal Read more […]
Senior Compliance Advisory
Senior Compliance Advisory Professional required to take on a cross product role with an extra focus on international regulation with a Global Investment Bank. You will working within a business that takes on a broad range of capital markets focussed business with a broad range of product lines undertaken across the group. You will be required to be a senior part of the compliance team and take responsibility for the engagement with the business across various product lines. Previous experience within differing product ranges would be beneficial and experience of derivatives or Read more […]
Compliance Manager
New York based Compliance Manager Opportunity to work for established Hedge Fund with Global Offices – Must have authorisation to work in the US Role Details: * This role will be based in the New York office, reporting in to the Chief Compliance Offer. * This role is ideal for someone looking to step up in to a number two/ deputy to the CCO in due course, or take this on immediately if appropriate. * As part of a close knit small compliance team, your role will be very broad. * Monitoring and Testing – have oversight of the Group’s annual review program pursuant to Rule 206(4)-7 Read more […]