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Compliance Manager- Electronic Communications, RMG, New York
Macquarie Group (Macquarie) is a global provider of banking, financial, advisory, investment and funds management services. Macquarie’s main business focus is making returns by providing a diversified range of services to clients. Founded in 1969, Macquarie employs more than 13,600 people in 28 countries. At Macquarie we offer you the experience and freedom to grow your career whilst making your mark within a highly successful organization. Key to our success is the entrepreneurialism we encourage in all our people. We give you the opportunity to progress your career as quickly as you can demonstrate Read more […]
Corporate Tax Compliance Senior Associate
A highly reputable global firm of accountants are looking to recruit a Corporate Tax Compliance Senior Associate to work in their Manchester based offices.The successful candidate would work with a range of clients from multinationals to mid-tier across a vast array of industry sectors. Daily duties will include preparing and completing corporation tax computations, reviewing work from smaller computations, liaising directly with clients to assist with any queries, tax payment advice calculations and liaising with HMRC when required.The firm are looking to recruit a fully Qualified ACA/ACCA/ATT/CTA Read more […]
Corporate Tax Compliance Manager
Talk to a consultant Talk to Victoria Jackson, the specialist consultant managing this position, located in Manchester Contact consultant ttelephone:0161 236 2963 ffax:01612 287703 4th 5th Floor City Tower Piccadilly Plaza, Manchester, Greater Manchester, United Kingdom, M1 4BT Read more […]
Compliance Investment Advisor
Opportunity: Role Responsibilities: · To provide advice across all areas of the business, both on a day to day basis and in the interpretation and implementation of regulatory change as relevant. · Assisting in the delivery of regulatory change. · Engagement on projects as required to provide regulatory input and guidance where appropriate. · To assist in the delivery of training to staff on regulatory matters. · To undertake marketing reviews. · To assist in any registration requirements as they apply to distribution activities. · Maintenance of Read more […]
Chief Compliance Officer/Controller
Chief Compliance Officer/Controller – Asset Management (Job Number: 1314448)DescriptionThe person in this role will have dual compliance finance responsibilities. Will be responsible for providing regular monitoring and testing of the Company’s Compliance program and Risk Management function. Includes preparation and maintenance of related Compliance documentation and assisting in monitoring and analyzing the Company’s overall risk exposure on a day-to-day and long-term basis. In addition, the person will be responsible for oversight of complex accounting and reporting duties related to SEC/shareholder/regulatory Read more […]
AVP Level Control Room Compliance Officer for Leading Global Investment Bank | Hong Kong
AVP Level Control Room Compliance Officer for Leading Global Investment Bank | Hong Kong Salary – Excellent base + bonus benefits Description A leading global investment bank is looking to add an AVP level control room compliance specialist to their central compliance function. The role will be reporting directly into the Head of Control Room and will have regular liaising with the Head of Regional Compliance. ResponsibilitiesContinued maintenance of Chinese wallsMonitor control room list (Restricted, Watch Conflicts)Responsible for clearing day to day Equity and Fixed Income research to avoid Read more […]
Compliance Manager,VP
Our CompanyState Street Corporation (NYSE: STT) is the world’s leading provider of financial services to institutional investors including investment servicing, investment management and investment research and trading. With $25.74 trillion in assets under custody and administration and $2.15 trillion in assets under management as of June 30, 2013, State Street operates globally in more than 100 geographic markets and employs 29,225 worldwide. For more information, visit State Street’s website at www.statestreet.com.Promoting a culture of excellenceWith more than 29,225 employees across 29 countries, Read more […]
Compliance Manager, AVP
Our CompanyState Street Corporation (NYSE: STT) is the world’s leading provider of financial services to institutional investors including investment servicing, investment management and investment research and trading. With $25.74 trillion in assets under custody and administration and $2.15 trillion in assets under management as of June 30, 2013, State Street operates globally in more than 100 geographic markets and employs 29,225 worldwide. For more information, visit State Street’s website at www.statestreet.com.Promoting a culture of excellenceWith more than 29,225 employees across 29 countries, Read more […]
Compliance Officer, Commercial Banking & Treasury services
Responsibilities Identifying and evaluating compliance risk. Provide advice, guidance and support to ensure that business is conducted in accordance with applicable laws, rules, regulations, codes of practice and standards; Mitigate the risk of operational losses ; continually reassess the operational risks associated with the role and inherent in the business ; ensure that local exposure to compliance and regulatory risk is managed Report breaches / exceptions up; Optimise relations with regulators. Qualifications skills Solid (5 to 7 years) credentials in a similar responsibility, in commercial Read more […]
Asia Pacific Compliance Officer
Asia Pacific Compliance Officer LaSalle Investment Management (Singapore based) Role Context Reporting to LaSalle AP General Counsel To provide risk management, legal, compliance, regulatory and governance support in Asia Pacific (with a focus on Singapore and Hong Kong). Focus on supporting the investment management and securities dealing activities with additional support for funds managed by LaSalle. Core Responsibilities New Funds and Risk Management New business and Investment Management Agreement (“IMA”) review process Assist in the review for potential risk, liability, license and compliance Read more […]