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Compliance Manager
This role is responsible for the improvement of enterprise wide compliance plans and policy. As part of the Compliance Transformation project team, you will refresh plans to make them more easily interpretted by the business. You will also be responsible for identify gaps in plans and policy for new legislation and formulating appropriate material in response. This is an ideal opportunity for compliance managers who enjoy looking at regulations in detial and providing succint and tangible education to the business. You will have excellent written skills and candidates with a legal background will Read more […]
Institutional Compliance Associate
An instantly recognisable asset manager , based in the heart of the City of London and managing in excess of £50 billion in assets . This role will be a core part of the institutional asset management compliance team Key ResponsibilitiesGuideline monitoring of Charles River alerts and warningsResolution of any pre-trade alerts and warningsUndertake statutory notifications.· Daily, monthly and periodic monitoringBreach resolution· Maintenance of the Embargoed Securities ListUndertake periodic reviews of adherence to compliance regulations and internal procedures for various areas of the Read more […]
Compliance
This leading Asset Manager is looking for a Compliance VP to join a team based in London on a contract initially set to run to the end of the year, paying between £300 and £375/day. This is an advisory role and the successful candidate will be liaising with senior stakeholders within the business and co-ordinating efforts across a variety of groups. Responsibilities include but are not limited to: *Advising the operational team who are responsible for making shareholder reporting disclosures in all aspects of the regulatory rules *Direct interaction with internal legal expert and outside counsel Read more […]
Contract Risk & Compliance Officer
The Company Robert Half are recruiting on behalf of a well known Financial Services Client for an interim Risk Compliance Officer on a project basis to be based in Edinburgh. This exciting opportunity to join a global leader in financial services in an ever-changing world of regulatory change is one not to be missed The Role Working directly for the Head of Compliance you will be assisting in the execution of the Risk Assessment and Compliance Oversight Plan for the business. Your input will also be required in contributing to the Management Reporting and so an ability to develop and maintain Read more […]
Compliance Counsel
Our client is a industry leading company. They are currently seeking a compliance counsel in Shanghai now. This position will look after their China business and report to Asia. You should localize global compliance policies, create regional-specific policies where appropriate and assist chief compliance officer in reporting on progress of compliance efforts in the region. To be the successful candidate, you need LLM degree or equivalent practical experience. 8 years experience in a compliance function in a multinational company. Expertise in the region’s custom and practice; passionate about Read more […]
Americas Director of AML & Sanctions Compliance
Macquarie is a significant provider of institutional banking, securities trading and advisory services to clients globally.Strong prudential management has been a key to Macquarie’s success over many years. The Risk Management Group (RMG) is an independent, centralized unit responsible for assessing and monitoring risks across the Macquarie Group. The Compliance Division within Macquarie’s Risk Management Group provides compliance support and advice to Macquarie’s operating businesses.Macquarie currently operates in four jurisdictions in the Americas, including: the United States, Canada, Brazil, Read more […]
Regulatory Compliance
Qualified lawyer with strong investment banking experience sought by this prestigious financial institution. The ideal individual will be at least 4 years post-qualified and will have a strong knowledge of the UK regulatory environment. Experience from either a bank or from practice will be equally considered. This is a high impact, highly visible role requiring the incumbent to demonstrate superior verbal and written communication and influencing skills, together with the proven ability to manage senior internal and external stakeholder relationships. The role will suit a pro-active individual Read more […]
Head of Sarbanes Oxley Compliance
Head Of Sarbanes Oxley ComplianceMy client, a well respected financial services organisation are seeking to appoint a professional interim to cover maternity leave for at least 12 months.The Head of Sarbanes-Oxley (SOx) Compliance is accountable to the Head of Governance, Product Risk and SOx for ensuring ongoing compliance with all aspects of SOx across the division, championing SOx activities and leading and delivering compliance with requirements.Please apply online or get in touch for further information. Read more […]
Advisor Group Chief Compliance Officer
The Advisor Group CCO reports directly to the SunAmerica Financial Group CCO with matrix reporting to the President and CEO of Advisor Group. This position has responsibility for managing the enterprise-wide compliance program as well as the individual broker-dealer compliance units. The successful candidate will emphasize cross-team collaboration; and will enhance how we communicate the state of compliance to the Advisor Group Senior Leadership Team.RESPONSIBILITIES* Manages the day-to-day activities of compliance officers responsible for each of the Advisor Group broker-dealers, including the Read more […]
Regulatory Compliance Director
Fitch Ratings Dual-headquartered in New York and London, Fitch Ratings is a global rating agency dedicated to providing value beyond the rating through independent and prospective credit opinions, research, and data. Offering a world of knowledge and experience behind every opinion, we transform information to deliver meaning and utility to investors, issuers, and other market participants. Fitch Ratings’ global expertise draws on local market knowledge and spans the fixed-income universe. The additional context, perspective and insights we provide help investors make important credit judgments Read more […]