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Compliance Manager (Fixed Term Contract)
An excellent opportunity has arisen for an experienced Compliance Manager, to join a leading global insurance firm, for a maternity cover contract (fixed term for 6 months). You will provide policy advice and guidance to all areas of the business in relation to regulations issued by the FCA (Financial Conduct Authority) and the PRA (Prudential Regulation Authority). Acting as the SME (Subject Matter Expert), your responsibilities will include: supporting relevant projects and processes, ensuring the provision of business focused solutions, promoting compliance best practice, advising on remedial Read more […]
Compliance Manager
Working for a prestigious Wealth Management business, my client is looking for an experience Compliance manager with both monitoring and cass experience to perform a specific project contract roleKey Duties:To review and assess the quality and standards of the Wealth Management department, including Private Client suitability reviews, Investment Research, Dealing, Execution and Custody operations.To provide high quality regulatory advice to resolve regulatory issues, as first point of Compliance contact for Portfolio Managers, Strategy Team, Research Team, Investment Risk Team, Head of Dealing, Read more […]
Investment Banking/Capital Markets Compliance Attorney
Seeking attorneys with fixed income, foreign exchange, and structured products experience. If you’re tired of big firm stress, hours and linear career path, consider moving in-house to a global investment bank in a fast-growing and dynamic area – compliance. It can offer you a better lifestyle, more opportunities to move to a different area, and a better market in which to climb the ladder. It’s similar intellectually stimulating work—without the billable hours! Main Duties • To be focused on providing compliance support and management of the fixed income business. • Review and Read more […]
Investment Banking Compliance Attorney
Are you a law firm attorney who likes the salary but wants a better lifestyle and more options? If you have experience in corporate finance, investment banking, syndicate, and/or underwriting, consider moving in-house to a global investment bank in a compliance and legal role. Compliance is a very hot field with great compensation and provides more lateral (including moving to the business side) and growth options than the partner track at a law firm. Not to mention, no billable hours. Our client, a top-tier Investment Bank, seeks a candidate that will work in close coordination with other Syndicate Read more […]
VP, Product Compliance Officer
FUNCTION: The Compliance team is responsible for advising a broad network of branch offices, as well as the different functional units within the firm. The Compliance team works closely with management, sales, trading, operations, technology and other areas to help ensure that the high net worth and advisory businesses comply with Firm policies and procedures as well as the requirements of regulatory authorities, including but not limited to the SEC, FINRA, MSRB and state securities regulators. RESPONSIBILITIES: Provide compliance and regulatory advice regarding the development Read more […]
Compliance Officer
Compliance Officer – Investment Management The Role:· Review and assess the quality of advice given· Provide file review reports and communicate findings· Compliance contact for advisers in the business· Speak concisely, effectively and coherently to all internal clients and external contact· Policy review and amendment.· Assist with development off the treating customers fairly programme.· Staff training and presentation· Build effective working relationships Read more […]
Legal & Compliance Manager
This role has a dual reporting line into both Compliance and Legal a lawyer in the London legal team and as such the responsibilities are split broadly 50-50 between both areas.ComplianceThe successful candidate will assist the Head of Compliance (Europe) in ensuring that the firm complies with relevant FCA and European regulatory requirements, as well as relevant group compliance policies and procedures. They will also ensure that the risk-based Compliance Monitoring Plan is complete each month. This will completed by overseeing the completion of less complex monitoring items by a Compliance Read more […]
Manager, Global Sanctions Compliance
High profile role with broad coverage and global scope Melbourne CBD Work Location Attractive salary benefits package We’re exploring new and better ways to progress the business with energy and enthusiasm. Backed by a proud and established heritage, we’re on a journey to create a super regional bank. Connected by integrity and clarity of strategy, there is a real sense of excitement about the future. You will assist the Head of Global Sanctions Compliance by communicating and monitoring all related compliance issues with Economic and Trade Sanctions (ETS) legislation in accordance with Read more […]
Compliance Manager, Large International Principal Investments Firm, London
Recruiters Reference: 3732 /2FAbout our client Our client is a well-respected and growing asset management firm with a global focus. They are looking for someone to join their compliance team.ResponsibilitiesAll aspects of compliance, including devising and maintaining new compliance policies and strategy, advising and consulting on risk areas, training members of staff on compliance policies and ensuring the firm’s capital requirements are maintained at adequate regulatory levelsSkills we’re looking forRelevant compliance experience from the financial services sector is essentialExcellent Read more […]
Manager, Operational Risk & Compliance, Macquarie Relationship Banking, Risk Management Group*
Operational Risk Compliance Manager, Macquarie Relationship BankingRetail Financial Services Career enhancement opportunity to build on your in-house commercial experience Daily client and senior stakeholder interactionAbout the roleYour key responsibilities will include:Proactively identifying compliance and operational risk requirements for the Lending and Deposit product lines and assessing the existence and effectiveness of the risk framework Assessing new / variations to product and business opportunities in the Lending and Deposit business for operational and compliance risks and representing Read more […]