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Compliance Auditor
COMPLIANCE AUDITORA permenant vacancy has arisen to join a well known name in the market as compliance auditor reporting to the internal audit manager.The purpose of this position is to carry out internal audits in accordance to the business audit plan where the audits you perform will be primarily compliance in nature.The chosen individual will deliver compliance audit reports while assisting the internal audit manager and internal auditors in carrying out a variety of audits including, complex compliance audits, routine process audits and analytical consulting reviews.You will have to be Read more […]
Cash Equities Compliance Advisor
A new role has arisen for a Cash Equities Compliance Advisor to join this Tier One bank, based in Canary Wharf. The firm has a global reputation for excellence and holds a commanding position in the European and Global Equity markets. Job Background/context:The Equities Compliance team is split in two – one team of two covers the Derivatives market and the other covers the Cash Equities business. As a VP you will work alongside a Director to cover the Cash Equities business. The nature of the role means that a presence on the trading floor is required before the market opens – ie: early Read more […]
Research Compliance Officer
A top tier investment bank seeks a Research Compliance Officer to join their team at either VP or Director level and provide Compliance support to the EMEA Research (including Equity, Fixed Income and Macro related) businesses.• Develop and manage effective working relations with EMEA Research and Investment Banking (including Corporate Broking and Capital Markets) management/teams and support managers. • Chaperoning internal communications between Investment Banking and Research • Provide guidance, review and approve pre-deal equity research in EMEA. This involves liaising with Research Read more […]
Financial Promotions Compliance Manager
Our client a global asset manager covering Equities and fixed incomes funds as well as real estate requires a Compliance Manager to specialise in Financial Promotions. This role has a global coverage and so cross border financial promotions experience is a distinct advantage.The role will require the successful candidate to;• Responsibility for carrying out the day-to-day regulatory sign off of marketing materials• Monitor volumes, analyse content of marketing material produced and prepare management information• Oversee self certification programme• Conduct periodic monitor as part Read more […]
IT Risk & Compliance Analyst
IT RISK COMPLIANCE ANALYSTAn exciting opportunity has become available to work with a well know organisation in the Midlands.Reporting to the IT Business Manager, the chosen individual will assist in implementing the company’s governance procedures, processes, information and controls where the IT team can manage risk and compliance activities through sustainable process.Skills preferred:- Ability to utilize industry standards and best practices to assess and advise on complex risk management through to improving on policies and procedures,methodologies and process.- SAP Governance, Risk Read more […]
Mortgages Compliance Officer
One of the world’s largest banking groups requires a Mortgages Compliance Officer to join their team and focus on their under-performing mortgages portfolio. In 2007, the bank acquired an independent Mortgage provider that was suffering liquidity issues in the wake of the credit crunch. This opportunistic acquisition led to the growth of a huge real estate mortgages portfolio that is in the £billions. The firm is committed to managing this portfolio in a cost effective way through a 3rd Party Administrator – your function would be to provide both Compliance Advice and Monitoring of the Read more […]
Senior Retail & Institutional Funds Compliance Manager
I am currently recruiting for a leading Fund Manager, based in the City who are recruiting for a Senior Compliance Manager to join their business.In summary, the primary purpose of this job is to provide leadership and direction to Compliance advice, monitoring and training in respect of all distribution activities, both retail and institutional. The role will represent compliance in all retail an institutional distribution matters, including but not limited to the following:• Retail Customer Interests initiatives (including TCF)• Retail Product Development• Retail Joint Ventures • Read more […]
Controls & Compliance Analyst
CONTROLS COMPLIANCE ANALYST.A well known organisation are seeking additional professional to join their finance team specialising in controls and compliance.The successful candidate will be identifying key compliance and control weaknesses and implement remedial action as appropriate by the business.Key Skills Required:• Sarbanes-Oxley compliance experience (execution, testing and consolidation), experience and/or knowledge of regulatory or operational controls, or wider internal controls framework. • Strong technical accounting or audit skills • Experience of writing Process Flow Read more […]
Head of Wholesale Conduct Compliance
My client a leading global bank requires an experienced compliance professional to join their global compliance function to lead on the Conduct Risk Compliance programme for their wholesale banking businesses. The role reports directly to the Global Head of Conduct and is a key hire for the bank in implementing a robust strategy and framework for conduct risk.This role requires the successful candidate to act as a thought leader and manager of programmes relating to conduct risk, because of this it will be expected that you will possess extensive experience in regulatory and conduct risk. Read more […]
Dealing Room and Issuance Compliance Officer
Role: Dealing Room and Issuance Compliance OfficerSalary: Up to £105,000Leading Retail BankLocation: City of LondonA leading retail bank is looking for a senior compliance officer to join their dealing room. The role will offer the candidate a lot of exposure across the bank and experience in liaising with senior stakeholders. The person will have responsibility for compliance in the dealing room and will be able to grow their own team.Role:Dealing Room and Issuance Compliance within Market Liquidity Risk is responsible for ensuring that all non financial regulatory requirements are met Read more […]