Search Results
AVP Risk, Finance and Compliance Internal Audit
Internal Audit Manager Retail BankingLondon£50,000 – £65,000 p/a + Bonus + BenefitsBased CityDue to an internal promotion, my client – a market-leading Retail Bank is looking to recruit a Group Internal Audit Manager to audit its Finance, Risk and Compliance divisions. This Bank has consistently outperformed its competitors and has offices and branches throughout the world. This company would be a good fit for ambitious auditors who want to fast track their career, in an exciting and challenging environment.For this Internal Audit Manager job I am looking for individuals with working knowledge Read more […]
Investment Compliance Officer
Our client, a global Asset Manager renowned for its exceptionally high quality of service requires a senior Investment Compliance specialist to join their business. The firm are a specialist fund manger focus upon Fixed Income investment, who are based in the City of London.This role is for a Senior Compliance Officer to have have oversight responsibility of the Investment Compliance Team who are responsible for pre and post trade monitoring. The role will require the successful candidate to not only monitor and flag exceptions and breeches, but also to code rules on to their software.Your Read more […]
Asset Management Compliance manager
A boutique institutional fund manager based in the City of London require an experienced Compliance specialist to join their business. The company are focused on Collective investment schemes and UK registered UCITS funds. The business is small in terms of head count and this role will report directly to the Head of Compliance.The role is very generalist in nature, due to the size of the business you will be expected to support the Head of Compliance on all compliance duties, these will include;COBS Monitoring Compliance OversightProvide compliance advice to the business Financial Promotions Read more […]
Bank Operations Compliance Advisor
The Operations Compliance division of this major investment bank is expanding its coverage and seeks a VP level Advisor to join their team. The team provides regulatory advice and guidance to the Payables and Receivables, Liquidity Solutions, Trade Finance. Commercial Card, Custody, Escrow and Issuing Paying Agency Services of the Bank as well as providing Compliance guidance and support to the Technology, Operations, Fulfilment and Client Services teams. The focus for the role is divided between on-the-floor advisory, new projects across the Operations Division and on-going monitoring Read more […]
Senior Compliance Manager Financial Promotions
A leading financial institution is currently seeking a Senior Compliance professional to join their Compliance function. The function sets high-level regulatory risk policies, with the aim of minimising risk. Reporting to the Head of Compliance the primary focus is to provide expert advice across all business lines to ensure compliance with the FCA’s Financial Promotion regime.The role requires an experienced individual with a strong track record in Financial Promotions approval, a full understanding and working knowledge of the FCA’s financial promotion regime and the ability to interact Read more […]
Senior Compliance Manager- Wealth Management
A leading top tier bank is currently seeking a Senior Compliance manager to join their Wealth Management division. The primary focus of the role is to provide Compliance oversight to the division, ensuring strategic objectives of the business are in line with relevant regulation. This role would suit a Compliance Manager with sound knowledge of FCA rules and guidance, in particular COBS, and a proven track record in providing advice.
Compliance Advisory
Role: Compliance Advisory- Fixed IncomeOrganisation: Tier 1 Investment BankSalary: Upto £100,000Location: City of LondonOne of the worlds leading Investment Banks is looking for a compliance advisor specialising in fixed Income. The role will offer variety and breadth in a team that can offer a high level of support. The candidate will have the opportunity to quickly progress within the team and gain a high level of exposure.Role:Provision of day to day Compliance advisory to the Fixed Income trading, sales and structuring desksOpining on compliance aspects of trading ideas/ complex structured Read more […]
Regulatory Compliance Consultant – London West
Our client is a leading global provider of regulatory compliance consulting services and software to the asset management and securities industries. It employs more than 100 experienced professionals who support more than 800 investment businesses.Its clients range from start-ups to large firms with well-established track records and utilise a broad array of investment strategies and styles such as: long only, long/short equities, global macro, credit, distressed, bank debt, fixed income, private equity, venture capital, real estate-related and fund of fund strategies.As part of its growth Read more […]
Sanctions Compliance Analyst
Our client, a leading global financial services firm with assets of $1.2 trillion and is a leader in investment banking.They are currently recruiting in the Bournemouth area and looking for passionate, career minded professionals with excellent communication skills and keen to work in fast paced environment.The RoleThe Global Financial Crimes Compliance team is responsible for Anti Money Laundering (AML) monitoring and sanctions screening for all EMEA booked activity across the Corporate Investment Bank (CIB) businesses and to provide KYC Compliance support to the heritage TSS business. Duties Read more […]
Compliance Manager- Disclosures
Talk to a consultant Talk to Katherine Lord, the specialist consultant managing this position, located in London Contact consultant ttelephone:0203 465 0110 ffax:020 3465 0003 5th Floor, 107 Cheapside, London, London, United Kingdom, EC2V 6DB Read more […]