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Compliance Advisory
About the role The role sits within the Compliance Advisory team covering Financial Markets. The senior compliance professional sought will provide regulatory compliance support in particular for the sale of OTC financial products. The role holder will interact daily with Senior Managers and will answer any queries coming from the trading team. The role holder will work alongside with the team on identifying any regulatory changes affecting the UK entities and ensure the necessary processes and controls are in place. They will also participate in different projects related to TCF, RDR and Interest Read more […]
Compliance Officer- Surveillance
Role: Compliance Officer- SurveillanceCompany: Tier 1 Investment BankLocation: City of LondonSalary: Upto £45,000A tier 1 investment bank is looking for a surveillance officer to join their team. The role will be focussed across products giving candidates a lot of exposure. The role will offer a lot of support and clear career progression.Responsibilities include: -Conduct and document monitoring reviews to assess compliance with and adherence to regulations and internal e-communication policies. – Follow established global policies, procedures and minimum standards requirements for monitoring Read more […]
ED/D Level Equity Compliance Advisory Officer
The primary responsibilities of this role will be to provide regulatory advice and guidance to the front office for cash/synthetic equity sales and distribution, corporate access, portfolio trading, sales trading, worked trading, algorithmic trading, DMA and statistical arbitrage. The successful candidate will also be required to get involved with the team’s responsibilities for new business proposals and project work, again primarily focused on the Cash Equities and Synthetic Equity businesses. The ideal candidate will have an understanding of the equity and equity derivative products and markets Read more […]
Head of MI and Data Governance, Compliance
HSBC are looking for someone who will manage a portfolio of high profile programmes across Risk and Finance. This is a senior level position responsible for the implementation of the HSBC and Global Risk Data Strategy across the Financial Crime Compliance (FCC) and Regulatory Compliance (RC) functions, as well as the design and delivery of standardized, focused, effective management information for both functions at a global, regional and local level. In addition there is a need to drive the implementation of an efficient operating model for the delivery of MI. In this context the scope Read more […]
Fund Analyst / Compliance
Due to continued expansion they have created a bespoke role for someone to focus on compliance matters relating to sales practice and marketing materials relating to the distribution of the Luxembourg and Dublin funds. Key requirements: Educated to degree level or equivalent Solid background in investment management Relevant compliance experience – ideally financial promotions An exciting opportunity for an enthusiastic and committed individual to join a prestigious Investment Manager with a sterling reputation which offers excellent long term career prospects. Mason Blake acts as an employment Read more […]
Sanctions – Compliance
Alexander Ash is acting as an agency for the purpose of this advert. Please also view our website for other similar opportunities; http://www.alexanderash.com/banking-jobs.php We are working with several clients on Compliance programmes of work and would be keen to discuss opportunities with candidates with the following backgrounds: Sanctions – KYC – AML – Financial Crime – Due Diligence Line or Business As Usual Background having moved into the change environment Understanding of the Regulatory changes taking place in the banking sector ***please feel free to forward your updated CV in word format Read more […]
Control Room Compliance Officer
The global Control Room network is extensive with offices in the U.S., Australia, Japan, Hong Kong, U.K. and Switzerland, all operating under a similar global framework of policies and procedures.You will be expected to have an extensive understanding and experience of the core responsibilities of Control Room Compliance, including: Information Barriers, Grey and Restricted Lists, assessing and applying sales, trading and research restrictions, including knowledge of Takeover Panel Code; research clearance (including Investor Education), disclosures, US settlement requirements and advising on research Read more […]
Compliance Manager (w/m)
Main responsibilitiesImplementation of Group compliance instructionsSet up and follow-up of action plans with regards to non compliance risksImplementation of Compliance Risk AssessmentAssistance in producing the Compliance reports for the RegulatorActive contribution in regulatory projects such as FATCA or AIFMpreparation of monthly Compliance reports and communication to SG Paris Compliance departmentsSupport in AML and KYC related matters with regards to §7 GWGAML and Compliance training to the staffthe implementation of normative controls defined by the Group and preparation of analyses for Read more […]
AVP/VP Compliance
Major International Investment Banks seeks highly motivated individual to assist their Compliance/Legal Department with due diligence and regulatory compliance, and internal Monitoring. Candidate must be very familar with AML/OFAC/KYC. Details of Role: Ensure due diligence is performed on all new clients to comply with the firm’s KYC/BSA and AML policies and procedures. Preparation of SAR Asist in monitoring and reviewing external communications with potential and existing clients Organization and ability to prioritize work flow to ensure deadlines are met Assist with preparation for all internal/external Read more […]
Compliance Officer/Specialist (Regulatory Research and Product Development)
Develop, implement, and monitor Policies and Procedures necessary to comply with: Title VII of Dodd-Frank, CFTC regulations, NFA regulations, and other regulations promulgated by relevant regulatory authorities