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Manager of Compliance
A global exchange based in the City of London is seeking a Manager of Compliance to join their compliance team on a permanent basis. The main responsibilities are 1) Reporting to the Senior Director of Compliance and Trade Support 2) The candidate will coordinate the regulatory and compliance oversight of the firms groups investment firm business that include interdealer brokerage, MTF and marketing activities across EMEA 3) Role will entail generalist functions like central compliance duties, general advisory, liaising with overseas regulators and providing training to relevant stakeholders 4) Read more […]
Compliance Advisory / Fixed Income Front Offfice
Fixed Income compliance Advisory – You will provide advice to Financial Markets on internal policies and procedures and relevant laws, rules and regulations. Such advice may be general in nature or specific and also include new initiatives and regulatory changes. You will also be responsible for assisting compliance and audit teams in reviews of systems and controls, as well as updating policies and procedures. Requirements: Degree level educated or equivalent; Experience of working in a legal, regulatory or consulting background experience must include: wholesale products and services together Read more […]
Compliance Manager & MLRO
Compliance, MLRO, money laundering reporting officer, payments, money transfer, fx, My client, a UK leading FX company, is looking for a new compliance manager MLRO to lead a team and develop a group compliance strategy. My client has asked for someone with a minimum of 4 years compliance experience within payments, money transfer and/or the FX industry. Ideally they are looking for someone who has worked at an FCA authorised payment institution and who has expert knowledge of FCA guidelines. I am looking for someone with experience working as either a compliance manager, compliance officer, Read more […]
Head of Investment Banking and Research Compliance Advisory
Company overview Nomura is a leading financial services group and the preeminent Asian-based investment bank with worldwide reach. Nomura provides a broad range of innovative solutions tailored to the specific requirements of individual, institutional, corporate and government clients through an international network in over 30 countries. Based in Tokyo and with regional headquarters in Hong Kong, London, and New York, Nomura employs over 27,000 staff worldwide. Nomura’s unique understanding of Asia enables the company to make a difference for clients through three business divisions: retail, Read more […]
Country Head of Monitoring, Compliance
High Risk Role Within HSBC certain roles are designated as High Risk Roles. High Risk Roles are those where employee malpractice could lead to significant financial and/or reputational damage through internal fraud, data loss, bribery or the leaking of confidential information. For these roles, all internal and external applicants are required to undergo a range of enhanced security/background checks as part of the pre-employment vetting process.This role has been designated as a High Risk role and any candidate hired into this role would be subject to this vetting. In the event that you are short-listed Read more […]
Senior Manager, Private Banking Compliance
High Risk Role Within HSBC certain roles are designated as High Risk Roles. High Risk Roles are those where employee malpractice could lead to significant financial and/or reputational damage through internal fraud, data loss, bribery or the leaking of confidential information. For these roles, all internal and external applicants are required to undergo a range of enhanced security/background checks as part of the pre-employment vetting process.This role has been designated as a High Risk role and any candidate hired into this role would be subject to this vetting. In the event that you are short-listed Read more […]
Risk & Compliance Analyst Job
Risk Compliance Analyst (Job Number: 1310493)DescriptionThe analyst will be responsible for providing high quality reporting services to external and internal clients, ensuring output is accurate and delivered within pre-defined deadlines. The team embodies a truly collaborative approach to exceeding our clients expectations and each analyst must exemplify this. Ensure accuracy and quality of client specific information held in the database for your clients. Accountable for the timeliness, accuracy and quality of reports based on client specific deadlines. This is for accounts falling in the basic Read more […]
Compliance Manager -Life Insurance
My client is a well-established multinational insurance company. Currently operating in over 10 different countries in Asia, my client definitely has a strong focus in growing its Asia business. Due to the substantial and structured growth plan in place, the key objective for my client is to strengthen its compliance framework. As a career focused Compliance Manager, your key responsibility is to support the senior management in establishing and implementing the compliance framework. You will also be responsible for all corporate compliance related issues, reviewing product and marketing material Read more […]
Compliance Auditor- Funds
Job role : Internal Audit – Compliance Auditor – FundsBanking £35000 – £45000My client, a specialist team within one of the UK’s well known banking groups is seeking to appoint an Internal Auditor who will be responsible for the planning, undertaking and reporting upon of structured external compliance audits of Authorised Fund Managers to a risk based frequency.You will be able to demonstrate technical knowledge around collective investment schemes and will need to have experience and exposure to regulatory oversight. You will have experience of auditing in financial services and have Read more […]
Compliance Officer & Associate Director
Hanover Search have been retained by a very successful, award-winning discretionary investment management firm to find an outstanding Compliance Officer to lead the compliance function and become an integral part of the Management Committee.Overview:Management of the Compliance department as Head of Compliance and MLRO.As Associate Director, acting as a senior member of the firm and a member of the Management Team assisting the board with managing the company.Control Functions: CF10 Compliance Oversight, CF11 Money Laundering Reporting Officer, CF29 Significant Management function for ComplianceResponsibilities:Ensuring Read more […]