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Compliance Officer 12 month FTC
Opportunity working for a leading Accountancy Firm. Working with the Compliance Partner, it is the Compliance Officers role to assist with all matters relating to compliance and legislation as it affects the Firm’s operations, during this 12 month fixed-term maternity leave contract. To proactively provide support and guidance to Partners, Managers and Staff alike to ensure the Firm meets its regulatory obligations and operates within its internal risk and control framework, and to generally promote a culture of compliance across the Firm. Apply now, or contact us for further information Read more […]
Portfolio/Marketing Compliance Analyst
The primary responsibilities include reviewing trades to ensure compliance with investment guidelines, coding security attributes in the system, and performing regular reviews of portfolios to ensure compliance with client guidelines, internal policies and applicable regulations. •Create and maintain new security masters. •Performance regular reviews of portfolios to ensure compliance client guidelines, internal policies and applicable regulations. •Work closely with account managers and portfolio managers/traders to resolve issues relating to investment guidelines. •Undertake ad hoc projects Read more […]
Dept Head Of Compliance Monitoring
Role: Dept Head of Compliance MonitoringType: ContractDuration: 3 – 6 MonthsRate: £475- £525per dayLocation: London A role is available within an Asset Servicing firm based inLondonto ensure the annual monitoring program is in line with the business activities and that the plan is executed as outlined. Previous experience needed:Experience in performing thematic reviewsA good understanding of current and upcomingUKregulations and risks associated with themDeveloped a mechanism to ensure all outstanding and overdue issues are chased up and escalated if necessaryBe able to lead and drive compliance Read more […]
Dept Head Of Compliance Monitoring
Role: Dept Head of Compliance MonitoringType: ContractDuration: 3 – 6 MonthsRate: £475- £525per dayLocation: London A role is available within an Asset Servicing firm based inLondonto ensure the annual monitoring program is in line with the business activities and that the plan is executed as outlined. Previous experience needed:Experience in performing thematic reviewsA good understanding of current and upcomingUKregulations and risks associated with themDeveloped a mechanism to ensure all outstanding and overdue issues are chased up and escalated if necessaryBe able to lead and drive compliance Read more […]
Dept Head Of Compliance Monitoring
Role: Dept Head of Compliance MonitoringType: ContractDuration: 3 – 6 MonthsRate: £475- £525per dayLocation: London A role is available within an Asset Servicing firm based inLondonto ensure the annual monitoring program is in line with the business activities and that the plan is executed as outlined. Previous experience needed:Experience in performing thematic reviewsA good understanding of current and upcomingUKregulations and risks associated with themDeveloped a mechanism to ensure all outstanding and overdue issues are chased up and escalated if necessaryBe able to lead and drive compliance Read more […]
Dept Head Of Compliance Monitoring
Role: Dept Head of Compliance MonitoringType: ContractDuration: 3 – 6 MonthsRate: £475- £525per dayLocation: London A role is available within an Asset Servicing firm based inLondonto ensure the annual monitoring program is in line with the business activities and that the plan is executed as outlined. Previous experience needed:Experience in performing thematic reviewsA good understanding of current and upcomingUKregulations and risks associated with themDeveloped a mechanism to ensure all outstanding and overdue issues are chased up and escalated if necessaryBe able to lead and drive compliance Read more […]
Dept Head Of Compliance Monitoring
Role: Dept Head of Compliance MonitoringType: ContractDuration: 3 – 6 MonthsRate: £475- £525per dayLocation: London A role is available within an Asset Servicing firm based inLondonto ensure the annual monitoring program is in line with the business activities and that the plan is executed as outlined. Previous experience needed:Experience in performing thematic reviewsA good understanding of current and upcomingUKregulations and risks associated with themDeveloped a mechanism to ensure all outstanding and overdue issues are chased up and escalated if necessaryBe able to lead and drive compliance Read more […]
Head of Compliance Manager | Associate Director
Regulatory Compliance Manager | Associate Director Salary: $170-200k SGDThe client, a leading Singaporean Private Bank is seeking to hire a Compliance Manager to lead the Regulatory Compliance Team. The team is responsible for ensuring product Compliance for the Bank and they are seeking an incumbent with experience in regulatory and product compliance.Regulatory Compliance Manager Role:• Contribute in product approval for new products and services, especially funds, structured products and alternative investments. • Review and comment on marketing materials, research materials, and other Read more […]
Corporate Banking Compliance
You will assist to formulate, update, issue/ implement compliance policies and procedures ensuring they are in line with local regulation and Group directives. Acting as the department’s BCP coordinator and supporting the department on BCP activities, you will update the Compliance BCP documents, which include BCP Plan, Call Tree, Paros Employee Information and Flu Pandemic Dispersal Plan. You will conduct periodic Compliance control tests and consolidate reports on testing results received from the business compliance teams for submission to the Department Head, and perform blacklist and Read more […]
Compliance Analyst I Job
Compliance Analyst I (Job Number: 1317511)DescriptionSupports management in the day-to-day efforts related to compliance with laws, rules, regulations and related policies. The incumbent collects, researches and analyzes relevant compliance- related information. Responsibilities may include verifying practices against policies, preparing of management reports and counseling business personnel on compliance with policies. Utilize Excel and Word.QualificationsBA/BS preferred. A combination of 5 years of education/experience preferred. This position requires knowledge of the Financial Services Industry Read more […]