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Senior Regulatory and Compliance Expert
Essential Responsibilities: Analysing regulatory developments and writing detailed articles which provide both insight into the impact of those developments and the practical implications for financial services firms. Representing Risk and Compliance industry and customer events including participating in expert panels or presenting on regulatory topics. Providing expertise on regulatory developments to internal customers including sales and marketing teams. Advising product development teams on the design of solutions to support the management of regulatory risk Contributing to special reports Read more […]
Director APAC FICC Compliance Manager
Regional coverage of futures Top tier banking institution Must have extensive futures A top tier global banking institution is seeking a Director APAC FICC Compliance professional to join their team in Singapore. This is a fantastic opportunity to join a prestigious organisation and head up their futures and options compliance team for the region.Responsibilities: Review regulatory developments and assess impact to business strategyProviding appropriate analysis for business to accommodate regulatory changesConduct research to the businesses in relation to new products, services and jurisdictions Read more […]
Compliance
The Michael Page Compliance desk work with a variety of different clients. From Retail and Investment Banks to Hedge Funds and Asset Managers we recruit for all types of organisations. Currently we have a great number of contract roles on across London and are in need of Compliance individuals from a variety of different backgrounds who are keen to move on to the next opportunity. Current roles: AML KYC Monitoring MLROs Heads of Compliance Generalist Adivisory COB Surveillance Any and everytype of compliance role is recruited for here so if your are keen on hearing about new contract opportunities Read more […]
EAM Compliance Officer
Job Description Support and offer consulting services to management as well as to front employees in the implementation and supervision of EAM Compliance issues. Coordinator for EAM Compiance topics within Compliance Providing training and training materials in connection with Compliance topics. Training of EAMs re duties related to the deleation and identification Assessment of new EAMs and yearly re-assessment of foreign EAMs Support Internal Compliance projects Monitoring activities in order to ensure adherence to regulatory and internal requirements Implementation of Global Compliancwe Program Read more […]
Trade Compliance consultant required by Global Asset Management firm for a 6 month contract role
The client is currently going through a huge migration piece of work and are needing a consultant who has strong testing skills. Key responsibilities: • Translate IMA rules into plain English submit for coding to the new vendor • Testing of the rules, both comparison and scenario testing to legacy platforms • Ensure consistency of coding across all rules • Ensure all relevant rules are mapped to each portfolio • Develop workarounds for the rules that cannot be coded into the new system Key skills • Knowledge of UCITS and mutual fund rules required. Read more […]
Compliance Assistant
Key Responsibilities: Diary management for London-based Compliance group members Arranging meetings – booking rooms, conference calls, refreshments Printing and distributing working/meeting papers Coordinating and managing travel plans – booking flights, hotels and obtaining visas Answering calls when compliance team members are away from their desks, fielding external and internal queries and referring them to relevant personnel Preparing expenses and liaising with the Accounts Department Providing assistance to new Compliance Group joiners and leavers, coordinating with premises and IT Stationary Read more […]
Compliance & Technical Support Manager
Talk to a consultant Talk to Ryan Dyer, the specialist consultant managing this position, located in Leeds Contact consultant ttelephone:0113 2448644 ffax:0207 068 5468 3rd Floor, Sovereign House, South Parade,, Leeds, West Yorkshire, United Kingdom, LS1 5QL Read more […]
Compliance Consultant 2 (Equity Compliance Consultant)
This position is within Wells Fargo Asset Management (WFAM) Wells Capital Management (WellsCap). Responsibilities include, but are not limited to: Monitors portfolio managers adherence to client guidelines, internal parameters, and statutory requirements on a pre-trade, post-trade, and batch basis within Charles River. Provide initial review and interpretation of client account investment restrictions (i.e. Investment Management Agreements, Prospectuses, Statement of Additional Information, Private Placement Memorandums, etc.). The ability to code restrictions and tests rules within Charles River. Read more […]
Compliance Manager | Securities
Compliance Manager | SecuritiesLocation: SingaporeSalary: 95k SGD to 120k SGD + BonusMain Responsibilities for Compliance Manager-Assist the Head of Compliance in discharging the responsibilities of compliance in general-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 of regulatory trends Read more […]
EMEA Head of Legal & Compliance
The Role: There are three principal functions of the role: 1. To provide Legal guidance advice to all business units and management in EMEA 2. To act as Company Secretary for the UK business and its subsidiaries 3. To ensure that the Bank operates effectively within local, regional and stringent group regulatory parameters, inclusive of all matters related to financial crime. Given the volume of regulation changes currently being imposed globally, Regulatory matters will form a significant portion of this role. The Candidate: The firm is looking for someone with significant banking experience Read more […]