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Compliance Product Manager
Reporting in to Compliance Director and working closely with the Product Development Management group, this position acts as the primary contact point and subject matter expert between the Compliance and Product teams in relation to the impact, opportunities and threats of global changes to regulation on existing and future products. This role would provide a global oversight, with the firm active in both the UK and oversees jurisdictions (including the US and Australia). The product range covers all asset classes including Equities, Fixed Income, Alternatives (commodities funds and fund of Read more […]
Compliance: Control Room Surveillance Analyst, AVP (Jacksonville, FL)
A Passion to Perform. It’s what drives us. More than a claim, this describes the way we do business. We compete to be the Global provider of financial services, 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 perspectives, we’re driven by a shared sense of purpose. At every level agile thinking is nurtured. Read more […]
Compliance Specialist
Excellent Interim opportunity within a Top Tier Investment Bank for a skilled and experienced Compliance Specialist. Successful candidate will be working within their UK Compliance team. A senior member of the team is going on maternity leave. The period will see a number of change and operational programs requiring senior leadership and oversight, and this hire is intended to support the UK Head of Compliance in this regard. The UK Compliance team consists of circa 70 professional staff engaged in core compliance processes supporting the UK businesses. The UK Head of Compliance leads the team, Read more […]
RMG Regional Compliance Surveillance Manager
The Risk Management Group (RMG) is an independent, centralised unit responsible for assessing and monitoring risks across Macquarie. This includes market and liquidity risk, credit risk, compliance risk and operational risk. RMG personnel liaise closely with all operating areas to ensure risks are understood and properly managed.Macquarie has an outstanding reputation and regulatory history as well as excellent relationships with all our key regulatory bodies.Due to ongoing growth of our business a Surveillance Manager is required in each region (ANZ, Americas, Asia and EMEA) who will be responsible Read more […]
SENIOR COMPLIANCE ANALYST
Reporting to the Director of Accounting this position is responsible for: the administration of the Agency’s agreement tracking system and coordinating finance review on all agreements; providing project management skills managing the delivery by the Accounting Division for the agency’s financial and federal audit, other federal audits and internal audits affecting the Accounting division; administration and maintenance of the Agency’s delegation of approval policy and related implementation within the agency’s enterprise system; developing and maintaining a program of compliance oversight Read more […]
Compliance Manager
A leading local investment house in Sydney CBD is looking for an experienced and enthusiastic Compliance Manager / Senior Compliance Analyst to assist in enhancing the risk management capability and positioning within the business. I am in search of a Compliance professional, from a funds/investment management background, who has worked directly in the investment / funds management space within a compliance role.You will be required to assist with the continued implementation, enhancement and development of the regulatory and policy compliance framework within the funds management business in Australia.You Read more […]
Risk and Compliance Manager
Work for a Growing International BankSydney CBD LocationAutonomous RoleThis growing international bank based in the CBD currently has a position available for an experienced Risk and Compliance Manager to join their team. Reporting into the Head of Risk Management and General Manager, this position will see you responsible for monitoring compliance with the Branch risk limits in accordance with principles stated in relevant policies (e.g. credit, liquidity, Operation, Treasury/ALM, etc.), You will ensure the risk management framework is implemented in accordance with policies and procedures and Read more […]
VP, Advisory and Surveillance Compliance, North American Bank
My client is a North American Wholesale Bank seeking to hire an experienced compliance officer for its APAC regional team. This hybrid role will allow the individual to work across the advisory as well as surveillance function. Working closely with a senior VP, you will be responsible for the regional monitoring and surveillance on the firm’s institutional banking activities as well as providing advisory to the business on issues such as new products, regulatory, key global projects and initiatives as well as industry practices that may impact the businesses of the bank. In addition, you will work Read more […]
Compliance / Internal Audit, Director
FitchDual-headquartered in New York and London, Fitch Ratings is a global rating agency dedicated to providing value beyond the rating through independent and prospective credit opinions, research, and data. Offering a world of knowledge and experience behind every opinion, we transform information to deliver meaning and utility to investors, issuers, and other market participants. Fitch Ratings’ global expertise draws on local market knowledge and spans the fixed-income universe. The additional context, perspective and insights we provide help investors make important credit judgments with confidence. Read more […]
Compliance Director
Fitch Ratings is a global rating agency dual-headquartered in New York and London with 51 offices worldwide, dedicated to providing value beyond the rating through independent and prospective credit opinions, research and data. We transform information by offering knowledge and experience behind every opinion to deliver meaning and utility to investors, issuers and other market participants. Fitch Ratings’ global expertise draws on local market knowledge, spanning the fixed-income universe. The context, perspective and insights we provide help investors make important credit judgments with confidence. Read more […]