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Senior Legal & Compliance Director
RESPONSIBILITIES:Serve as the primary liaison to the Singapore Monetary Authority and assist with all regional regulatory matters for the office. Monitor all regulatory developments affecting the Liquid Markets Business in the Asia-Pacific region and manage-minimize legal and regulatory risk for the office. Design and implement new policies and procedures as needed. Provide advice and support to the Singapore trading team (comprised of portfolio managers and execution traders) real time, covering strategies that include global macro, convex, commodities and sector specific Read more […]
Reporting Analyst -Compliance
– Oversight of position reporting functions for 29 jurisdictions in EMEA- Ensure that the process undertaken to reconcile transaction and position data in preparation for disclosure notices.- Ensure familiarity with disclosure requirements for jurisdictions under EMEA.- Become fully familiar with and provide guidance to the other Disclosure Analysts on the complex products traded by the bank and their impact on disclosures. – Assist in raising profile ofthe businessthrough a high standard of communication with Compliance, Legal and business.- Make pro-active suggestions Read more […]
Compliance Oversight Manager
Niche Private Equity 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 Private Equity 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 working in the Compliance team which is responsible for training, advice, policy and regulatory developments: Your responsibilities will include:*Risk and Compliance monitoring *FSA reporting*Policy reviews and updates*AML reporting*Liaising Read more […]
Compliance and Regulatory Consultant
The successful applicant will have responsibility for the development of the compliance consulting service, that aims at helping clients toefficiently structure their business, minimising regulatory burdens and complying with relevant regulations.The role offers an incredibly autonomous scope for growing this new team and providing the direction in conjunction with the firms partners.- Development of the compliance consulting services business – current and new lines of business; and Cross-selling the services of the legal team to compliance consulting clients.- Responsibility Read more […]
Senior Compliance Officer
The Senior Compliance Officer will support the new interest rate derivatives platform based in London. The candidate will be involved from the beginning in helping to shape the business and the compliance framework:- Responsibility for all regulatory and compliance matters for the platform- Point of contact for FSA and any other relevant regulatory authorities- Create and deliver the annual Compliance Training Program and delivering new starter training, Compliance training and Compliance update presentations- Investigate referrals from the Operations and Market Surveillance Read more […]
VAT Compliance
Integral Search Integral is a leading executive search firm specialising in niche areas of finance which includes Audit, Consultancy, Corporate Finance, Risk Compliance and Taxation. View all Integral Search job listings
Markets Compliance Manager
Extensive knowledge of the rules of the FSA (including MiFID) Understanding of AML rules knowledge of issues pertaining new issues, IPOs, structured notes knowledge of conflicts management issues (including public-private issues, confidentiality agreements) Strong knowledge-exposure to some of the following products: Credit-rates (cash-derivatives) Equity (UK and European) Financing transactions CommoditiesResponsible for ensuring business is compliant with the rules of the FSA, relevant stock exchanges, trade associations Assist in managing the relationship with the regulators Read more […]
Head of Compliance for Wholesale Banking
Our client is committed to high standards thus is keen to hire an exceptional compliance professional with extensive compliance experience at a senior level in investment banking. They will have good product knowledge and proven management experience. The successful candidate will oversee the compliance function for the investment banking business and do the following:- Ensure effective management of all wholesale banking Compliance matters for the European arm of the business(including training). Lead Compliance support for Global Markets, Transaction Banking, Corporate Finance, Read more […]
Compliance
The Role: Present on the trade floor, you will monitor trading activities against various Commercial Compliance policies, monitor Commercial trading activities against potential forms of market abuse. The role will include producing trader accuracy reports and management information on material issues and concerns. You will Work across many internal functions covering all Commercial trading lines for global markets. The Candidate: The candidate should have strong knowledge and interest within of commodities / commodity derivatives trading along with a previous experience of Read more […]
Compliance Advisor
Exciting opportunity to provide a prompt, accurate and effective compliance service, and to promote and develop the compliance culture within the company. – Ensure the requirements of external legislation and regulations (e.g. Monetary Authority of Singapore, Labuan Financial Services Authority, Bermuda Monetary Authority, FSA, Lloyd`s legislation, Money Laundering-Proceeds of Crime, Data Protection, Health Safety), company best practice and other general business compliance procedures are adhered to.- Undertake compliance activities (i). predominantly performing an advisory Read more […]