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Compliance & Partnership Accounting Manager (10 month Contract)
I am currently working with a highly regarded, west end law firm to recruit a 10 month fixed term contract position. They are looking to appoint a qualified accountant to take on the role of Compliance and Partnership Accounting Manager. This is an important role in the firm taking in to account recent changes in the regulatory landscape across the legal sector. The firm has created an excellent professional environment where business support functions and highly integrated with the fee-earners and partners.The Finance Director will give this person full day to day responsibility for managing Read more […]
Risk Review Compliance Officer, Ecomms Monitoring
Main Responsibilities: On-going performance of the cyclical monitoring and thematic/topical/desk review programmes Promptly Investigate and clearly communicate issues arising from the cyclical monitoring and review activities, involving advisory compliance officers as required, follow issues through to full resolution with the business lines. Maintain and monitor a database of remedial actions/recommendations arising from trade surveillance, to ensure timely and satisfactory resolution of issues identified Preparation of written reports for submission to the Risk Assessment Review Unit Senior Read more […]
Compliance Administrative Assistant, 12m Fixed-Term Contract
Functional Job Title: Compliance Administrative Assistant Reports to: Chief Compliance Officer, Asia Pacific and Head of Compliance, Australia Department/ Division: Compliance Basic Purpose of Job:To assist the Chief Compliance Officer Asia Pacific and the Australian and Asia Pacific Compliance teams in all administrative matters including diary management, travel arrangements, general filing, typing and general administrative support. Priorities or Objectives: Co-ordinates effective and timely flow of critical information Read more […]
Compliance Manager (VP)
Overview My client is a bank experiencing growth through its excellent recent track record and rolling out a diversified derivatives product offering. Reporting into the UK Head of Compliance – the role holder will be tasked with taking on the full compliance remit – from advisory role to writing and delivery compliance training, reviewing policies and procedures, registration/deregistration of approved persons etc.. This is a new role in a niche SME business, so somebody who can build on the compliance function and make it more sophisticated to cope with changing regulatory requirements has the Read more […]
Project Manager – Implementation – Compliance Change (Financial Crime, KYC, CDD, Sanctions)
For the full job description, contact me on: Kam.Bamrah@AlexanderAsh.com Rate: £650-715 Per Day For other roles (Contract or Perm) withing Investment Banking or Buy-Side, feel free to connect with me on Linkedin: uk.linkedin.com/in/kambamrah/
UK Compliance Manager
Our client is a bank experiencing growth through its excellent recent track record and rolling out a diversified derivatives product offering. They are looking for a UK Head of Compliance MLRO (one position). This will fulfill both CF10 and CF11 duties. Strategic importance is placed on this role as the job holder will be the direct link with the FSA and the principal point of contact with the heads of the relevant market teams and business areas. The role holder will be flexible and able to take on the full compliance remit – from advisory role to writing and delivery compliance training, Read more […]
Compliance Manager, Investment Products
Established on January 12, 1996 in Beijing, China Minsheng Banking Corporation (“CMBC”) is the first national joint-stock commercial bank with shares mainly owned by non-state-owned enterprises. As the pilot in the reform of China’s banking sector, CMBC has made significant explorations in reform, management, innovation and development, and achieved notable success as evidenced by rapid and healthy growth in the past 17 years. CMBC is listed on the Shanghai Stock Exchange and the Hong Kong Stock Exchange and it operates over 700 entities nationwide including 33 branches. CMBC was ranked No.62 Read more […]
Compliance Manager, Investment Products
Established on January 12, 1996 in Beijing, China Minsheng Banking Corporation (“CMBC”) is the first national joint-stock commercial bank with shares mainly owned by non-state-owned enterprises. As the pilot in the reform of China’s banking sector, CMBC has made significant explorations in reform, management, innovation and development, and achieved notable success as evidenced by rapid and healthy growth in the past 17 years. CMBC is listed on the Shanghai Stock Exchange and the Hong Kong Stock Exchange and it operates over 700 entities nationwide including 33 branches. CMBC was ranked No.62 Read more […]
Senior Commodities Compliance Officer
The successful candidate will: Ensure the effective implementation and operation of systems, to assist, identify and mitigate regulatory risks across the business. Act as a key contact with regulatory bodies and as a liaison with external and internal counsel. Monitor the implementation of regulatory changes such as EMIR and Dodd Frank. It is essential that you will have: Circa 5 years+ experience in an energy trading, regulatory/compliance environment Strong knowledge of the current regulatory environment affecting the commodity markets. Good knowledge of physical and derivative commodities Read more […]
Disputes Resolution Manager, Compliance
About the Role:Providing general advice on a variety of disputes and complaints Preparation of documents and responses to complaints Explaining and negotiating remediation with affected clients Managing responses to various regulatory bodies Interpreting policy wordings as requiredAbout You:Well developed problem solving and decision making skills Strong understanding of internal and external dispute process within Financial Services Solid knowledge of derivatives (preferably ADA accredited) Attention to detail Ability to deal with a variety of internal and external stakeholders Ability Read more […]