Search Results
Compliance Officer, Sydney
Company The Western Union Company is a NYSE-Traded Fortune 500 Company and a leader in global payment services, with a 160 year history of connecting friends, family and businesses around the world. With our roots in the telegram business, we were first to offer electronic money transfer services in 1871. Western Union is the single largest player in a huge flow of resources – a transfer of billions of dollars every year that touches one sixth of the world’s population. We’re a force for economic growth, a mainstay for emerging nations, and a growing, profitable business. We offer the freedom Read more […]
RESEARCH COMPLIANCE
Responsible for maintaining Chinese Wall policy designed to control information flow by separating public-side personnel from private-side personnel. Assist in maintaining a database to keep track of public- and private-side classifications. Assist with all aspects of research compliance functions, ranging from the implementation of policies in relation to the Chinese Walls procedures, conflicts of interest, and research business. Review and approve research publication to ensure compliance with relevant laws and regulations, in particular relevant securities laws. Review research guidelines and Read more […]
Compliance Manager
This position provides the opportunity to join Department with the responsibility of monitoring and analyse the sales and trading activities conducted by the investment bank. This Department interfaces closely with a number of other internal Departments, including the Markets Compliance team and the London Control Room.Key responsibilities will include:Executing the MI monitoring programme by analysing the firm’s sales and trading activities against all available external market intelligence and internal information sourcesSupporting special investigations into market incidents led by the Markets Read more […]
Compliance Advisory VP
Required Experience:Candidate should possess at least 5 years’ experience in a divine contribution technical and/or compliance environmentA strong working knowledge of insurance company organisation, unit-linked products, pension processes, regulation and legislationWork with the Regulatory Engagement Team to ensure good communications and relationships with regulatorsDesirable Qualifications/Experience:A degree level education and a professional qualification such as Fellowship of the Chartered Insurance Institute (Pensions branch) and/or Fellowship of the Pensions Management Institute would Read more […]
AML Compliance Manager
A leading global bank is seeking an experienced Compliance professional to join their Private Banking division. This is a great chance to join an energetic team in a Compliance focussed environment. The role will provide exposure to broad range of areas such as wholesale investment, fund investment and dealings with Ultra-High Net Worth individuals. As AML Compliance Manager, you will be required to assist in carrying out anti-money laundering compliance due diligence and monitoring activities across the Private Bank in order to assist the Senior management in complying with the requirements Read more […]
Broker Dealer Sales Channel Compliance
The Legal Compliance team oversees BlackRock’s compliance with applicable laws and rules, and is responsible for, among other things, establishing legal and compliance policies and procedures that meet applicable regulatory requirements and testing the operative effectiveness of those policies and procedures; overseeing all regulatory matters; coordinating all regulatory exams and legal proceedings; negotiating contracts; and providing compliance training. We are sourcing for a dynamic and enthusiastic compliance professional who functions in an efficient, detail-oriented, and proactive Read more […]
Compliance Manager, Energy Trading
Compliance Manager, Energy TradingAre you looking to continue to a career in Energy Trading? Do you have strong knowledge and understanding of Policy and Regulation in a Commodity Trading environment?If the answer to both of these questions is yes, then read on…My client, an energy trading market leader is seeking a Compliance Manager for their London office; the position is new and has opened up due to growth of the business. The Compliance Manager will work alongside the Global Head of Control and Compliance to manage and ensure the compliance programme is effective for the business including Read more […]
Hedge Fund Compliance
The organisation in question is a Multi Billion Hedge Fund with offices and outposts across the Financial world. Its growth has been stellar, hence the need for this restructure and a new emphasis on the Compliance function. For the senior role you will have a first class education and your experience will be broad having been gained either on the Buy Side or a consultancy. You will have created and implemented compliance monitoring programmes, had exposure to the world of derivatives and will have the gravitas to deal with multiple jurisdiction regulatory authorities. If you would like to Read more […]
AMI Senior Compliance Manager Job
AMI Senior Compliance Manager (Job Number: 1311464)DescriptionBNY Mellon AMI is a London-based UK asset management subsidiary of The Bank of New York Mellon Corporation. BNY Mellon AMI’s dedicated professionals provide world class, multi-lingual Sales, Marketing and Client Service to investor s which include some of the world’s largest pension funds and institutions, local authorities, treasuries and family offices.Job Purpose* Provide advice and support to the AMI business on all relevant compliance matters relating to its’ distribution activities (and those of its’ associates) in the UK, Continental Read more […]
Legal and Compliance Manager
Legal and Compliance Manager needed to join Leading Investment Management Firm due to continued growth and strong performance Role Details * Excellent opportunity to join legal and compliance teams in newly created role as part of a leading investment manager, with a focus on assets across all classes. * You will work closely with the Senior Lawyer on the legal side as well as assisting the Head of Compliance on compliance and regulatory related matters. * Provision of general legal advice/ general legal and company secretarial support and deputising for the Head of Compliance. Read more […]