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Compliance Officer- Maternity Leave
One of the top Hedge Funds in Europe is looking for a dynamic person to provide maternity cover in their Legal Compliance team. The team is currently made up of the Head of Legal and Compliance, one lawyer and a compliance professional. It needs someone who is willing to undertake a broad range of work in relation to compliance. The role will be varied and provide good exposure to all aspects of the business. Set out below are examples of the types of matters you may work on in this role. It is anticipated that you will have between 2 and 5 years experience within the Investment Management or Read more […]
Compliance Monitoring Specialist
Compliance Monitoring opportunity with Top Global Investment Bank Role Duties: * Conduct onsite inspection of the business units of UK Branch under the supervision of the Compliance Monitoring Manager, such inspections to be both planned and reactionary visits. * Development of the monitoring activity carried out by the UK Branch with a focus on completion of the yearly monitoring plan. * Contribute to the development of the monitoring plan by ensuring that new areas of the UK Branch business are included in the plan and by reviewing the risks posed by such business units on a continuous basis. Read more […]
Compliance Consultant Opportunities
Black Swan Group are currently working on a variety of Regulatory Consultancy roles with some top Regulatory Consultancies. This is a lucrative, interesting and ever growing area of the financial services sector. We are interested in seeing a variety of relevant compliance and regulatory backgrounds in line with the following general role details and skill set. Regulatory Consultant Overview * The role of a regulatory consultant is broad and varied, involving handling a range of regulatory issues affecting a variety of clients on a day to day basis. * Dealing with a varied client portfolio, Read more […]
Senior Compliance Associate
Senior Compliance Associate opportunity with Premier Hedge Fund – excellent career path to become Deputy in the compliance team Role Details * A generalist compliance role, reporting in to the Chief Compliance Officer. * Helping to provide positive and practical assistance to the business, whilst maintaining appropriate regulatory control. * Deputising for the Chief Compliance Officer, providing positive and practical assistance, together with accurate and timely and detailed advice to all business areas. * Taking a proactive ownership of particular tasks and processes within the Compliance Read more […]
Equities Compliance Advisory
A position has arisen for an experienced Compliance Officer to work within the existing EMEA Equities Compliance team. The role, which will be based in a trading environment, comprises the provision of advisory, education and monitoring services to all traded Equity products. The successful candidate will also be required to lead new business proposals and project work and to provide training and education to the businesses supported. The role will also involve support for other aspects of the Equities Compliance team’s work.Qualifications / Skills / ExperienceThe ideal candidate will be a graduate Read more […]
Asset Management Compliance Advisory
City based Asset Manager seeks a Compliance professional to join their expanding Investment Compliance function. The team provided pro-active compliance and AML advice relating to the Institutional Sales, High Net worth and Investment teams. You will provide Compliance expertise on Funds and other products including: * UCITS and NURS structures; * ISA allowable investments; * UK listings and disclosure rules; * Matters relating to COLL sourcebook of FSA handbook. The successful applicant for this position will have: * A good knowledge and understanding of regulatory requirements affecting Read more […]
Compliance Advisory Officer
City based Asset Manager seeks a Compliance professional to join their expanding Investment Compliance function. The team provided pro-active compliance and AML advice relating to the Institutional Sales, High Net worth and Investment teams. You will provide Compliance expertise on Funds and other products including: * UCITS and NURS structures (especially in relation to investment and borrowing powers and restrictions); * Offshore bonds eligibility of investments and investment restrictions; * ISA allowable investments; * Matters relating to COLL sourcebook of FSA handbook. The successful Read more […]
Part-Time Compliance Officer
Growing and diversifying trading house seeks a part-time Compliance Officer to join their London based team. The role is for an individual to work 3 days a week reporting directly into the Head of Legal and Compliance. You will be supporting the head of Compliance covering all activities within the day-to-day Compliance programme. This will be a broad based role covering all aspects of monitoring, AML, regulatory change and reporting with the potential to develop into other areas. The key tasks will include: * Assume day-to-day responsibility for the monitoring programme, assisting in reviewing, Read more […]
Compliance Analyst -Emea
Added January, 23, 2013 7:24 PM
COMPLIANCE OFFICER
Ashton Hendricks Ashton Hendricks is a niche recruitment business focused on sourcing the highest calibre of permanent, interim temporary professionals within Risk, Audit, Compliance and Projects.