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Compliance Advisory
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
Compliance
Fantastic Asset Management Compliance role working for a top city business, my client is looking for a financial promotions expert to join their compliance team £300-500 per day Fantastic contract role but also longer term permanent rolesHays Specialist Recruitment Limited acts as an employment agency for permanent recruitment and employment business for the supply of temporary workers. By applying for this job you accept the TC’s, Privacy Policy and Disclaimers which can be found at hays.co.uk Read more […]
Compliance – Senior Analyst Compliance PRG
A Passion to Perform. It’s what drives us. More than a claim, this describes the way we do business. We’re committed to being the best financial services provider in the world, balancing passion with precision to deliver superior solutions for our clients. This is made possible by our people: agile minds, able to see beyond the obvious and act effectively in an ever-changing global business landscape. As you’ll discover, our culture supports this. Diverse, international and shaped by a variety of different perspectives, we’re driven by a shared sense of purpose. At every level agile thinking Read more […]
Compliance Financial Promotions
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
Senior Compliance Specialist, Investment Products
Responsibilities: Provide professional compliance advisory to the senior management and business units on Investment Products. Perform regular compliance reviews and checking on staff dealing, clients’ investment suitability management, individual and corporate licensing. Develop, update and review compliance policies and procedures, and ensure that they are in comply with the legal and regulatory requirements. Act as the focal point in liaison with local regulators including HKMA and SFC. Promote compliance awareness and perform compliance training to the staff Perform ad-hoc compliance projects Read more […]
Compliance Monitoring Executive
Our client is the Investor Services division of an instantly recognisable global investment firm . This role will require the successful candidate to understand the application of the FCA Handbook in the context of a custodian business with significant UK based market products operation. The firm is based in the heart of the city of London and is able to offer an excellent work-life balance , typically involving a 9-5 working pattern . A full specification is available upon request , however key responsibilities will include : *Conduct and develop compliance monitoring under the supervision Read more […]
Buy Side Compliance Officer
A buy side firm specialized in investments in APAC is now looking for a compliance officer to join their team. Responsibilities Monitoring for internal controls, client reporting and regulatory requirement Update regulations and assess impact on operations as well as to provide compliance advisory and training to business units. Assist in setting up compliance policies and procedures Be the subject matter expert for compliance related matters Requirements Degree/Diploma holder 3 years experience within Fund Management/Banking/Finance industry with compliance exposure A good team player Read more […]
VP, WM Compliance
You will document and report findings and advise on remedial measures to facilitate effective corrective actions, where unusual activities or deficiencies in compliance with regulations, procedures or best practices have been identified. You will prepare reports to management/ stakeholders regarding the status of recommendations, made as a result of monitoring review findings. You will identify new and emerging risks from business and regulatory developments and assess their impact on the monitoring program. You will be involved in implementation projects i.e. implementation of surveillance Read more […]
Senior Manager, Compliance | Securities
Senior Manager, Compliance | Securities Location: Singapore Salary: 100k SGD to 120k SGD + BonusMain Responsibilities for Senior Manager, Compliance -Head up the compliance function and provide guidance and training to the junior staff-Perform Anti-Money Laundering (AML) related Compliance controls -Provide compliance training to employees and manage ad-hoc compliance related tasks -Ensure that the company is kept abreast of relevant local and regional regulatory and best practice development -Provide advice to business partners (front and back offices) on compliance issues and potential impact Read more […]
Conduct Risk Compliance Manager
Conduct Risk Compliance Manager – London My client, a global corporate bank, is seeking a Compliance Manager to join their team on a contract basis. The successful candidate will be consulting and advising colleagues within the Corporate Banking Compliance Team on conduct risk issues.Responsibilities:Provide Subject Matter Expertise on Conduct Risk matters across the Corporate banking DivisionDeliver specialist advice to key business, change and functional initiatives across the divisionDeliver technical support, advice and guidance on non-standard issues and responds to requests from internal Read more […]