Search Results
Compliance (Internal Audit) Manager
Added October, 11, 2012 11:36 AM
Operational Risk and Compliance Associate
The incumbent will sit within the Operational Risk Compliance team. The mandate will include responsibility for delivering an effective service, resulting in regulatory compliance and operational risk management within the business. The principle function of the role is achieve team objectives by balancing risk reward and implementing daily activities, whilst acting in a independent, controlled and compliant manner.The successful candidate will be responsible for interacting and partnering the business in order for them to achieve their strategic objectives:1. RISK COMPLIANCE Read more […]
Compliance Business Partner
The primary purpose of the role is:To be the primary interface with assigned business areas, in delivering effective oversight and advice, regarding compliance with policies, procedures, systems, controls and governance of the businessOversee successful implementation and execution of the business-facing-related elements of the Annual Compliance Plan.Provision of technical advice to colleagues across the businesses, based on subject matter expertise and through liaison with other Subject Matter Experts (SMEs).Helping the business prepare for FSA ARROW and Thematic visits (including Read more […]
Compliance Manager
Role PurposeProvide direction and support for the responsibilities and functions of the Compliance Control Room team.Act as key contact in the Control Room in relation to managing conflicts of interest including transaction approvals, personal account dealing and takeover panel disclosures etc.Conduct conflict management induction training for any new joiners to Compliance.Develop and refine Control Room related policies and procedures.Attend industry discussions-roundtables pertaining to Control Room issues.Providing clear guidance to members of the Control Room on identifying Read more […]
Vice President Global Markets Compliance Advisory
Compliance key functions include the following:- Advising and providing guidance on various rules and regulations affecting the business (on particular deals, rule changes etc.);- Providing Compliance Training;- Co-ordination of regulatory audits and inspections;- Registration of relevant staff with the FSA;- Responding to regulatory enquiries; and- Identification and resolution of conflicts arising in an integrated Investment Bank;- In depth operational knowledge (trading through to trade confirmation) of relevant fixed income products (structured transactions, credit Read more […]
Risk & Compliance Manager required by leading global financial institution based in Nottingham
The role would require the candidate to report directly to the Chief Executive. The candidate would also be required to take responsibility for employee development and ensure that the necessary skills and competencies are in place.Responsibilities:• Developing, implementing and administering a Risk Management framework ensuring that risk register, risk appetite, risk assessment and risk indicators are clearly defined, with ongoing monitoring and reporting to Board and Senior Management• Working with the Board Committees to ensure an effective governance culture is maintained Read more […]
Compliance Change Programme Director
Our client are a top-tier Financial Services Institution, seeking to recruit a Programme Director level candidate, who will hold Global responsibility for the planning and delivery of all regulatory Compliance change initiatives. The candidate will join the central Business Change leadership team, alongside existing Heads of Change for Front Office, Operations, Finance and Risk, reporting the Global Head of Change. Direct reports will be a team of permanent Senior Compliance Project Managers and a network of further subsequent indirect reports. Scope of deliverables will be Read more […]
Compliance Junior – Oversight
Niche Private Equity firm has an exciting opportunity for a Compliance Junior to gain further exposure in a generalist/oversight role.They are one of the most respected Private Equity 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 Compliance team which is responsible for training, advice, policy and regulatory developments: Your responsibilities will include: * Monitoring * FSA work * Policy work* AML * Liaising with regulators Your Background * Compliance Read more […]
Project Manager in Legal & Compliance
This is a highly autonomous role working for a top tier Investment Bank based in the City. Duties will include but not be limited to;-Performing systematic review of processes to identify opportunities for process re-engineering and improvement, defining key – measureable benefits- Working with appropriate functions to define and evaluate requirements for an enhanced controls – measurement framework- Engaging with relevant stakeholders to prioritise delivery, mobilisation of data validation processes system implementation.- Supporting additional project initiatives and process Read more […]
Deputy Compliance Manager
Ensuring that the Firm`s regulatory obligations are met, The Deputy Compliance Manager will support the Head of Compliance in assessing and minimising the risks inherent in the business- Establishing and maintaining a monitoring framework to track and analyse new and emerging regulatory activity and practice – Advise on all relevant regulatory and compliance developments impacting the companies` European remit – Assess the adequacy of internal processes, systems and controls to ensure they meet internal policy, regulatory rules and guidance and governance requirements affecting Read more […]