Search Results
Compliance Executive
Added November, 27, 2012 6:22 PM
Compliance Advisory
Our client is a leading Investment Bank looking for a Compliance Advisory candidate in the Securities division. The successful candidate will work as part of the European Securities Division Compliance Team to cover the European FICC Businesses required to work closely with sales, structures, traders and also other departments, such as Legal, Controllers, Credit and Internal Audit.Role Responsibilities: * Providing advice on individual transactions, new products and business initiatives, with particular focus on OTC derivatives. * Review of marketing materials term sheets. * Trade consultation. Read more […]
Compliance Testing
Our client is a leading financial services firm looking for a Compliance Professional to join the Compliance Testing Group (CTG) within the firms Compliance division. The Compliance Testing Group’s principle objective is to create and execute detailed testing work programs to assess compliance with regulations and firm policies. This role will work closely with compliance and business management in London and gain an excellent understanding of both the firm’s businesses and the rules and regulations under which the firm operates.Role Responsibilities: * Conducting tests covering the various business Read more […]
Head of Compliance Advisory
Head of Compliance Advisory needed for Jersey arm of Global Financial Services Firm Role Details * Take a leadership role for Compliance strategy, providing direct support to the Head of Compliance, Global Trust as necessary. * Support and enable business objectives by ensuring relevant WM businesses are equipped to meet evolving regulatory requirements, including by identifying, assessing, tracking, where possible influencing and preparing for new developments and ensuring the implementation of relevant Global Compliance regulations. * Assist senior management and businesses in embedding compliance Read more […]
Compliance Manager (FX)
Compliance Manager vacancy with London based FX Firm Role Details: * This is a broad and generalist Compliance Manager role, reporting in to the Head of Risk Compliance with a view to eventually taking on the CF10 and CF11 registered control functions. * Policies and Procedures: * Financial Crime Manual and Anti-Bribery. * Gifts and benefits. * Breaches. * COBS. * Client Money. * Capital Adequacy. * Complaints and Investigations. * Suitability. * Categorisation. * Conflict of Interest. * Best Execution. * Selling Guidelines. * Payments (Third Parties, Sanctions). * Reliance Certificates. * Annual Read more […]
Compliance Analyst
Our client, a Global Financial Services firm, is looking for a candidate to fill a 6 month rolling contract role as a Compliance Analyst. The purpose of the role is to help ensure the business is abreast of regulatory changes and developments. Also to make sure that they are able to comply with new or changing conduct of business regulations and regulatory expectations.Role Responsibilities: * Monitor for, identify, analyse, communicate and support the implementation of, relevant regulatory changes/developments impacting the business. * Produce detailed analysis, including gap analysis as necessary, Read more […]
Regulatory Compliance Analyst
Our client, a Global Financial Services firm, is looking for a candidate to fill a 6 month rolling contract role as a Regulatory Compliance Analyst. The purpose of the role is to help ensure the business is abreast of regulatory changes and developments. Also to make sure that they are able to comply with new or changing conduct of business regulations and regulatory expectations. Role Responsibilities: * Monitor for, identify, analyse, communicate and support the implementation of, relevant regulatory changes/developments impacting the business. * Produce detailed analysis, including gap Read more […]
Assistant Manager Financial Promotions Compliance
The jobholder’s responsibilities will include: * First point of contact for the relevant marketing departments * Approving Financial Promotions in a timely manner * Ensuring that Financial Promotions are compliant with the relevant regulations for the jurisdictions they are to be used in. The firm carries out marketing activities in many jurisdictions, including the UK and US. * Providing advice to the relevant marketing departments both reactively and proactively * Identifying and assisting with any training requirements relevant for the marketing teams * Production of Management Information Read more […]
Insurance Risk & Compliance Manager
A leading Insurance Services company is currently recruiting for an Insurance Risk Compliance Manager to provide assurance to divisional management that Solvency II implementation reflects gap analysis and further requirements from regulators.The Risk Compliance Manager will be responsible for identifying opportunities and risks regarding compliance with Solvency II, developing, implementing and completing a compliance plan to ensure effective compliance monitoring of Solvency II implementation. Also responsible for developing and assisting operational management to develop a programme of appropriate Read more […]
Compliance Head of Training
Our client, a leading global investment bank, is seeking a Head of Training within its Compliance Department. This position involves a high level of independence, initiative and self-discipline while at the same time ability to work very closely with the London team as well as the ability to create and maintain relationships with business and central compliance as well as other parts of the firm and external vendors. Responding to numerous inquiries from internal clients and being both flexible, adaptable sand resourceful in order to work quickly and respond well to deadlines is necessary. Experience: Read more […]