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Compliance Advisory
– Front office compliance advisory role servicing a broad product range, including FX, market making, equity, equity derivatives, deposit taking, etc. – Dealing with the front office traders on a variety of issues in relation to the above products.- Working as part of the wider compliance team. – Keeping up to date with and analysing regulatory changes and their potential impact.- Strong compliance background working for an investment bank.- Good product knowledge, preferably to have had exposure across FX, market making, equity, equity derivatives, deposit taking.- Read more […]
Compliance Monitoring Manager
You will be responsible for undertaking detailed reviews in accordance with the firm’s monitoring programme to assess compliance with applicable rules and regulations, preparing accurate reports on findings including recommendations to the business, enhancing the visibility of the monitoring team across the wider business, keeping the monitoring programme up to date with both regulatory and business changes, monitoring the status of corrective action and overseeing the monitoring work conducted by members of the team. The successful candidate should have practical experience Read more […]
Corporation Tax Compliance – In
I’m recruiting for a large multinational company in the Reading area who wish to hire an experienced professional to assist the group in meeting their corporate tax compliance obligations. Positions at this size of company are few and far between so be sure to register your interest soon if you wish to be considered.The main focus to the role will be to ensure that the corporate tax and withholding tax compliance obligations are met on a timely basis, however there is also the opportunity to contribute and add value to the group’s month-end activities.You will have been trained Read more […]
Compliance Director EMEA
The Compliance Director – EMEAwill take the Lead on the line of Business relationship. This role involves: – Compliance Policies: Develop and assist the business with compliance-related policies. Ensure the compliance programme is maintained. Ensure company procedures are in compliance with policy and programme statements.- Advisory: Advise the business on compliance-related matters, such as any regulatory developments and the implications of new and existing products and services and internal policies ( e.g. AML, FCPA, OFAC, Sanctions, Marketing, Privacy, and other regulations Read more […]
Compliance Director
As a Regional Compliance Lead you will be responsible for managing the compliance program for all merchant acquiring activity in EMEA, Lead a team of Compliance professionals and reports to the Head of Compliance. Working as a Compliance Officer of a legal entity regulated by the Financial Services Authorities in the UK, this position is responsible for overseeing the compliance activities and is a primary contact for the regulator.A key responsibility will be acting as the permanent advisor to the board of directors, and responsibility for 10 proprietary Merchant Services Read more […]
Compliance Officer (CF10/CF11) Wealth Management
This Private Client / Wealth Management business has an excellent reputation as one of the leading providers of financial products and services to high net worth individuals in the UK. Growing organically over many years, the firm prides itself on its ability to service clients throughout the UK at a local level – thereby truly understanding the needs of their clients. The Section Head of Compliance will be responsible for all aspects of Compliance and hold the CF10/CF11 responsibilities for the Financial Planning division. Reporting to the Group Head of Compliance, you will Read more […]
Compliance Director – VP recruitment
You will help the organisation working closely with the compliance officers in identifying and mitigating those compliance risks identified .You will also be responsible for preparing report for senior management and review reports from compliance officers. You will pro actively keep track of regional regulatory changes and its impact to the group’s risk exposure and update the policies, procedure and process accordingly.You will take active interest in training staff and being the point of contact for compliance queries, while actively liaising with the banking and financial regulatory authorities Read more […]
Compliance and Risk Manager
Added September, 18, 2012 4:17 AM
Compliance Officer ( Private Bank ) recruitment
In this role, you will be the sole person in charge of all Compliance activities, handling all compliance and regulatory affairs. You will be reporting directly to the Board of Directors.In this challenging role, your daily tasks will include but will not be limited to:Developing and implementing periodic compliance risk monitoring program across the bank processesDeveloping and implementing a best practise AML management frameworkProviding reports to Board of Directors regarding compliance matters, AML policies, and high risk issuesKeeping up-to-date with changes in laws and regulations and implementing Read more […]
Manager, Compliance recruitment
A prestigious financial institution is looking have a new headcount to support its compliance function in the Asia Pacific!Successful candidate will advice on Compliance and Regulatory matters, including the development and implementation of monitoring and surveillance programs for the firm and lending proactive support to ensure global policies and best practice standards are effectively implemented.Requirements:Min. 5 years of Compliance experience, preferably with an Asset Management FirmStrong and proven Singapore compliance knowledge and experience to serve as subject matter expert on compliance Read more […]