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Head of Compliance
Added September, 05, 2012 3:04 AM
Regional Compliance Manager
Full Job Description Job Summary Key Responsibilities:- To be the Compliance lead in respect of a designated region of the advisory business. – To provide ongoing compliance advice, support to, and monitoring of, Sales Managers and Advisers. – To ensure compliance to both internal and FSA Regulatory requirements are met across the business. AdviceTo provide quality proactive and timely compliance advice to the business and its staffProject and Service InitiativesAs a compliance specialist for the advisory businesses to provide input, guidance and Read more […]
Compliance Analyst
Full Job Description An exciting opportunity has arisen with a large global asset manager who are looking to add a Compliance Analyst to their team. This role will encompass a range of responsibilities from monitoring to advisory. Day to activities will include:-Ensuring that monitoring is undertaken in accordance with the agreed programme. -Assisting the Head of to ensure that any adverse findings or those requiring follow-up are dealt with promptly and satisfactorily in liaison with relevant staff within the business and all relevant issues closed Read more […]
Head of Compliance – Corporate and Private Banking recruitment
This role would particularly suit an established and ambitious Compliance Manager who is keen to make the step up into a more autonomous “Head of” and put their own blueprint down on an emerging player within the region. The bank are currently under 50 staff here in Singapore yet are highly liquid and have ambitious expansion plans within the country and the broader ASEAN region over the next 5 years. Note that this role will also incorporate wider aspects of corporate governance including operational risk management and internal controls. The successful candidate should ideally have significant Read more […]
Chief Compliance Officer (London) recruitment
The role reports into the Head of compliance for financial services block (CIB, WM, PB), as well as reporting locally to the CEO UK / Head of Research, MD.Your Profile: Degree level education (exposed to legal side), adequate qualification certificates (CF10 Compliance Oversight CF11 Money Laundering Reporting is a must) Experience in compliance in a financial services firm that has international presence (likely to have 7 years experience) Familiarity with all business lines operating in UK entity (Institutional Sales Trading, Investment Banking, Asset Management), basic knowledge of specifics Read more […]
Business and Commercial Regulatory Compliance recruitment
Business and Commercial Regulatory ComplianceMy client, a global banking group, is seeking a Regulatory Compliance Consultant to join their Business and Commercial team in London on a contract basis. The successful candidate will be reporting to the Head of Compliance and Operational Risk, Business and Commercial banking. You will be expected to deliver compliance support to business management and ensure that significant regulatory risks are identified and managed. This is a very high profile role that will be dealing with very sen ior stakeholders within the business and as such will be a very Read more […]
Compliance Manager recruitment
Outstanding long term career platform .Attractive Salary Package.About our ClientOur client is a respected Global Bank that is currently growing hiring in their Front Office, Back Office and Support Functions across their branches here in Shanghai China. They are committed to attracting a diverse range of candidates and if you have an interest in joining a modern and progressive bank with a foundation of success here in Shanghai, read below for specific information and contact me to discuss how you can take the next step to applyJob DescriptionThe Compliance Manager will assist the Compliance Read more […]
Senior Manager/Manager – Hedge Fund Legal and Compliance recruitment
Responsibilities:Review and negotiate documents and agreements such as ISDA, CSA, PBA, PSA etc.Solid hedge fund legal practice and consultancy experienceSupport the compliance needs of growing trading activities especially for overseas market like United StatesManage the ongoing compliance advice including implementing regulatory/legal fillings (SEC and CFTC etc)Advise on PPM and related marketing materialLiaising with business and corporate legal team with the relevant regulatory and legal aspectsPerform other duties as requiredQualifications:A degree in law, preferably qualified lawyerAt least Read more […]
VP – Senior Equity Compliance Officer recruitment
This is an excellent opportunity for a Senior Compliance professional that specialises in equity market activities and enjoys working with the business at all levels. The role is at VP- level and your responsibilities will include: Provide real-time advice and support on regulatory matters to the Corporate and Investment banking businesses Advise and guide the Equities businesses including cash equities, equity derivatives, prime brokerage and prop trading Manage relationships with the businesses at all levels, including Regional Heads Liaise with the Legal teams covering these businesses to identify Read more […]
Retail Banking Compliance Manager – 120k + recruitment
This role Focuses on the compliance, strategy and frameworks, and service delivery and will provide an excellent opportunity in one of the major financial institutions in Sydney. This role will contribute to the development and maintainence of the compliance framework which includes internal communication of the compliance policies, as well as the development of compliance procedures and training, along with aiding in the management of regulatory change programs. Experience: Tertiary qualifications in a Legal, Financial, Business or related discipline A strong understanding of the financial services Read more […]