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Head of Compliance (Monitoring and Surveillance)
Our Client is an excellent Corporate and Investment Bank based in London looking to bring on board Head of Compliance to overlook the Monitoring and Surveillance activities to ensure strong communication flows between the Monitoring and Surveillance Team and UK Head of Compliance and heads of other UK and German and Global Compliance and AML teamsThis head of Monitoring and Surveillance role includes:- Ensuring an efficient Monitoring and Surveillance Compliance organisation in the UK branch which is interconnected to the Head Office and Group Compliance organisation with direct reporting lines- Read more […]
Compliance Manager – Stand Alone Role
Global Trading firm has an exciting opportunity for a Compliance Oversight Manager to lead the day to day compliance functions.The firm is one of the most respected Firms in the market and have a long and proud history. They are based in state of the art offices, close to public transport and amenities.The RoleYou will be reporting to the Head of Legal and Compliance but will be in a stand alone role. Your responsibilities will include:*Compliance Monitoring * Advice*Policy and Procedure Reviews*AML reporting*Liaising with regulators Your Background*Compliance Manager*Trading/Broking/Investment Read more […]
Contract Compliance Monitoring Manager
Contract Compliance Monitoring ManagerAlexander Black Recruitment is urgently looking for Contract Compliance Monitoring Manager to join our high profile client.Our client is a well-known asset managerThe Contract Compliance Monitoring Manager will perform monitoring tasks to check for compliance with FSA and SEC’s regulatory requirements and to provide support to the Compliance teams based in London and Geneva. To ensure that staff respect the rules and regulations that apply.The Compliance Monitoring Manager will also be responsible for:Carrying out a risk based compliance monitoring programme Read more […]
Compliance Manager
My client a leading Professional Practice business is seeking a Senior Compliance Officer to work with them on a consultancy basis as an SME responsible for Anti-Money Laundering and Foreign Corrupt Practices Act (“FCPA”) compliance. You will act as the SME in this area for the business leading pitches and assignments with clients across the UK.In addition, the successful candidate will be responsible for tracking changes and conducting research and analysis on laws, rules, regulations, regulatory interpretation, best practices and examination findings in order to recommend changes to policies Read more […]
AML Compliance Manager (VP / Associate) | Leading Global Investment Bank | Hong Kong
AML Compliance Manager (VP – Associate) | Leading Global Investment Bank | Hong KongLocation – Hong Kong, AsiaSalary – Excellent compensation + benefits bonusDescriptionA leading global Investment bank is looking to add an AML manager to their compliance function. The role will report into the Head of Anti-money Laundering and have a dotted reporting line into the Country Head of Compliance. The position will be responsible for assisting the country efforts in AML as well and the regional coordinator across Asia. The role will also be responsible for ensuring the group is compliant with both Read more […]
Global Consultancy Firm is seeking Candidates with Regulatory Risk and Compliance Experience (Senior Associate/Manager Level)
Major Global Consultancy Firm is seeking Candidates with Regulatory Risk and Compliance Experience (Senior Associate and Manager Level)Location – Multiple Locations – Los Angeles CA, San Fran CA, Chicago IL, New York NY, McLean VASalary : Up to $160k base salary (plus benefits and bonus) – depending on experienceThis Top International consultancy is currently seeking Candidates with experience in Regulatory Risk and Compliance to join their Financial Services arm as Industry consultants. They are looking to bring on Senior Associates (with at least 4 years of experience) or Managers (with at least Read more […]
Junior Investment Compliance Analyst
Due to growth this leading European Investment Manager has a rare opportunity for a Junior Investment Compliance Analyst.They are one of the most respected Investment Management firms in the market and have a proud history. They are based in state of the art offices, close to public transport and amenities. The Role You will be working in the Investment Compliance team and your responsibilities will include: * Pre and Post Trade Monitoring * Incident Management * Investigations* ReportingYour Background * Compliance* Investment Management* Would Suit a 2nd jobber * Degree qualified Benefits * Read more […]
Compliance Officer
An exciting Compliance Officer opportunity has opened with a Financial Services firm, specialising in International Development Role Details:This is a broad and varied generalist compliance role, reporting in to the Chief Compliance Officer. You will be advising and supporting business units on the following aspects of the Global Ethical and Compliance system: * UK/US anti-bribery and corruption legislation, including UKBA, POCA, FCPA and similar laws impacting the firm’s world-wide operations. * Corruption risk assessments. * Counterparty due diligence. * Gifts hospitality. * Conflicts of interest. Read more […]
Compliance Consultant
Leading Regulatory Consultancy seeks Investment Management Compliance Professional with strong UCITs knowledge to join London team at exciting time of growth for the firm Role Details * Reporting to the Director of Regulatory Consulting, you will undertake an extremely varied and rewarding role becoming central to the client advisory team and managing a portfolio of clients. * You will be responsible for your own portfolio of clients and assisting / advising them in all regulatory matters pertaining to their business. Specifically this could include, but is not limited to; * Undertaking compliance Read more […]
Business Services Compliance Manager
Our client is a broker dealer looking for an individual to take on the role of Business Services Compliance Manager. The role will entail assisting the Head of Compliance Risk in the implementation and maintenance of an effective compliance risk framework, strategy, as well as, appropriate procedures and controls for Business Services, mitigating regulatory risks across the Business Services function (‘the function’). Role Responsibilities: * To oversee, manage, implement and maintain the function’s compliance with all applicable aspects of CASS rules, extending this responsibility to the mainstream Read more […]