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Compliance Manager :Product Advisory
We are exclusively recruiting for a brand new role at a leading global asset manager. Reporting to the Head of Compliance with a dotted line to the Head of Product you will act as the primary contact between the Compliance and Product teams in relation to impact, threat and opportunities of global changes to regulation on existing and future products You will also review and assess existing and future regulation relevant to all existing and future development of products Responsibilities Manager’s role – responsible for assisting the Compliance Officer and Head of Product Strategy in the review Read more […]
Fixed Income Compliance Advisor
The firm is now looking for an Associate Compliance Officer to join their Fixed Income Advisory team to focus on their Foreign Exchange and Interest Rate Derivatives trading division. You do not have to have experience in Compliance as full training will be given but you must have at least 3 years experience in the Capital Markets and have a very strong understanding of the products traded. You will also need to have excellent interpersonal skills and a very strong work ethic. Here’s what is expected: * Good understanding of OTC derivative products, either Interest Rate or FX derivatives * Able Read more […]
Assistant Compliance & Internal Control Analyst
Tata Steel Europe is a wholly-owned subsidiary of one of the world’s top ten steel producers, the world renowned multinational Tata Steel Group. They have 2 main manufacturing centres in Europe – one in the Netherlands and the second in the UK and have chosen Port Talbot as the site to centralise their high profile European finance function and UK headquarters.There is massive opportunity for career progression as a result in the new state-of-the-art Accounting and Transactions Centre of Excellence. Opportunities to work in a challenging and rewarding professional environment, to gain/build Read more […]
Compliance
Your Role: Review Customer Profile Forms, monitor and review PEP / High Risk / Sensitive accounts; Identify, review and investigate trading errors and suspicious transactions, conduct on-going of existing clients suspicious transactions report and handle customer complaints; Perform ad hoc compliance reviews, checking and handle compliance-related queries/projects Review and update the existing procedures and policies to keep in line with regulatory and legal changes; and Provide compliance consultation, ad hoc advice and support (including staff training) to employees and Management Your Profile: Read more […]
IT Compliance / Audit Consultant
Northern Trust Corporation is a leading provider of investment management, asset and fund administration, fiduciary and banking solutions for corporations, institutions and affluent individuals worldwide. Northern Trust, a multibank holding company based in Chicago, has a growing network of 83 offices in 18 U.S. states and has international offices in 16 locations in North America, Europe, the Middle East and the Asia-Pacific region. Northern Trust’s presence in Singapore continues to grow, enjoying new client wins and continued expansion in headcount. This is an exciting time to work for Read more […]
Compliance Manager, Credit Cards
About the roleWe are seeking a Compliance Manager who has solid experience in Credits Card products to our join rapidly growing Banking and Financial Services division. As part of the Compliance team, you will work with key stakeholders of the business and actively manage develop and operationalise the compliance framework for the Personal Banking product lines, with a key focus on credit cards.Key responsibilities will include:overview and enhancement of the compliance and risk management framework of the credit cards business advising and assisting key business stakeholders to meet their compliance Read more […]
Compliance Roles x 2
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 […]
Compliance Analyst
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 […]
Compliance Analyst
My Client, a prestigious investment bank is looking to recruit a Compliance Analyst on a 3-6 month basis. The role with have a strong emphasis on FCA approved persons and registrations. Responsibilities include:Ensuring all required employees requiring FCA/PRA status are fully aware of the registration processReport to senior management any individuals who have not met these requirements within a given time frameSending withdrawal notices for all leavers that no longer require registrationCompleting all internal employee registrations with a number of European Exchanges ensuring “fit and proper” Read more […]
Head of Compliance
A City based Capital Markets firm requires a Head of Compliance for their London branch. The successful candidate will hold the UK Financial Conduct Authority (FCA) controlled function of CF10, Compliance Oversight and CF11 and Money Laundering Reporting Officer for a separate group company. You will be responsible for the day to day management of all compliance within the London branch and will have a reporting line to the Head of Compliance in Paris to enable coordination of compliance policies. The role will involve developing compliance activities across all areas of the business, and coordinating Read more […]