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Compliance Marketing Review
Position Description Candidate will review and analyze sales literature and marketing materials for various pooled vehicle products including registered funds, unregistered products and separately managed accounts to assess compliance with FINRA and SEC rules and regulations and internal firm policies. Provide guidance and recommendations to business unit personnel to promote compliance; Submit marketing and advertising materials to FINRA, as required, and facilitate communications between the regulators and the firm. The candidate will keep abreast of new regulations and communicate such updates Read more […]
Portfolio Compliance Analyst
Job ID: 13836Position Description: Portfolio Compliance oversees guideline compliance for over 2,000 separate accounts and offshore funds on a post-trade basis, which includes an independent compliance verification. We perform holdings-level analysis to detect any guideline breaches in client portfolios and monitor all outstanding compliance issues from time of breach through resolution. In performing our array of compliance functions, Portfolio Compliance works closely with departments across the firm, including Account Management, Portfolio Management, Product Management, and Business Management. Read more […]
Equities Compliance
Large International Investment Bank Great Career Exposure Attractive Remuneration Package Responsibilities: Providing advisory support to the Equities business (Equity Derivatives, Delta-1, Prime Finance, Structured Products, Syndicate etc) in different product groups (Cash Equities, Equity Derivatives, Structured Products, Futures Options, etc) regarding the Firm’s policy and the relevant securities and derivatives rules and regulations; Advising business personnel on new rules and regulations which affect their business; Establishing / updating policies and procedures in accordance with Read more […]
Un Consultant support fonctionnel junior en Front et Compliance (H/F)
Forte de près de 15 ans d’expérience, Hiram Finance réalise pour ses clients des missions sur l’ensemble des métiers de la finance de marché : du front office aux calculs des fonds propres, en passant par le post-marché, la gestion des risques et les systèmes d’information. Nos clients sont aujourd’hui essentiellement les Banques de Financement et d’Investissement, les Asset Managers, les Assureurs, les Corporates et plus généralement les Prestataires de Service en Investissement. Dans le cadre de notre développement et pour répondre aux besoins de nos clients nous recherchons : Un Read more […]
COMPLIANCE SPECIALIST
Our clients include corporations, pension plans, insurance companies, foundations, endowments, central banks, official institutions and mutual fund advisors. In the U.S. we have offices in Boston, Chicago, New Jersey and New York. We have an excellent career opportunity for a Compliance Specialist with Finance or Accounting experience in our New York City office. This individual will be responsible for assisting the Chief Compliance Officer in various regulatory compliance and operational risk matters. This is a mid-level role requiring full participation in maintaining, updating, developing Read more […]
Retail Compliance Senior Hire
Interim solution for a senior hire within the retail compliance function of large banking groupBased in Milton Keynes but occasional travel to LondonStrong conduct risk, policy, monitoring and advisory experience essentialFixed Term Contract – 3 months whilst hire on a permanent basis £70,000 – £100,000
Broking Specialist (Compliance)
The company is an exceptional, medium sized regulatory and compliance consultancy with an impressive history, fantastic client base and very distinct vision and culture. They have a number of distinct market specialisms where they have a strong and expanding presence and now have an opportunity for either a mid level or senior compliance specialist to join their Broking team. You will need significant (5 years +) experience either in industry or in an advisory or business consulting capacity to financial services institutions, in an agency stockbroking or proprietary trading environment, and Read more […]
Assistant Vice President-Compliance
A reputable Asset Manager from a leading reputable organization is looking for a quality compliance individual to join their team.ResponsibilitiesManage regulations for compliance in the Asset Management DivisionAid senior management on risk and compliance related mattersResponsible for trade surveillance and compliance monitoring testsDeal with SFC and SEHK in regards to licensing and any related inquiriesParticipate in change and project related dutiesRequirementsDegree holder in Accounting or LawBetween 3-5 years experience in compliance in a financial institution, preferably asset managementSolid Read more […]
Compliance Manager – Fund Manager – $120
This market leading Fund Management firm requires a Compliance Manager to join their existing compliance team. The role will involve providing advice and guideance to the business and associated entities in order to satisfy all external regulatory obligations and client contractual requirements.Duties will entail -To consider the implications of client contractual, legislative and regulatory requirements on the operation of the funds management business and undertake compliance monitoring procedures as necessary in the fulfilment of these compliance requirementsEnsuring that all boutique funds Read more […]
Business Analyst – KYC – Compliance – CDD – Transaction Monitoring
Alexander Ash is acting as an agency for the purpose of this advert. http://www.alexanderash.com/banking-jobs.php A leading global Commercial Bank is looking for a KYCC Business Analyst to work across Front Office and Middle Office deliver the programme’s aim and objectives. This is a contract opportunity paying a highly competitive daily rate. The successful candidate must have worked within a very large organisations on Regulatory or Compliance Programmes/Projects within commercial banking. You must be able to build business requirements to a comprehensive standard whilst defining and executing Read more […]