Search Results
Director Compliance
The Compliance Department is responsible for the creation and implementation of appropriate regulatory policies and procedures for all businesses, for the provision of related training and advice, for the monitoring and review of all business activities to measure Compliance with policies and procedures, for undertaking enforcement and sanctions activity and for the management of Firm’s relationship with all of its regulators. Lead a team of compliance professionals that provide advice and compliance support to the Equity and Funds Structured Markets and Investor Solutions teams. Manage and Read more […]
VP, Head of Compliance, Singapore (Private Banking)
• Major Global Bank • Team Manager • Excellent Career Prospects Our client is a major global private bank with significant presence across Asia Pacific. There is now an exciting opportunity for a dynamic individual to head its Singapore Compliance team. Reporting to the Regional Head of Compliance, you will assist to implement perform various regulatory surveillance reviews of the bank. You will provide compliance advice to the businesses on regulatory requirements, internal policies, manage regulatory interactions and manage internal policies and guidelines as issued by Head office. Read more […]
Senior Cross Product Advisory Compliance Officer
Prime responsibilities are to advise front office trading areas, liaise directly with Executive Committee members to help ensure that the business meets the regulatory requirements and provide cover for the Head of Wholesale and Corporate Compliance as and when required. You would also be responsible for supporting the company in dealing with relevant external regulatory bodies and key external stakeholders, lead, motivate and develop the Wholesale Monitoring Surveillance team as well as acting as an internal consultant and advise senior management on appropriate actions The ideal candidate Read more […]
Compliance Sentinel
Working for a growing Asset Management business in the city, my client is looking to hire within their Guideline Monitoring/ Sentinel Team. Previous experience is essential Working closely with this client so please contact me to discuss the contract role further £500 per dayHays Specialist Recruitment Limited acts as an employment agency for permanent recruitment and employment business for the supply of temporary workers. By applying for this job you accept the TC’s, Privacy Policy and Disclaimers which can be found at hays.co.uk Read more […]
Senior Risk Consultant, Review and Monitoring. Group Operational Risk & Compliance.
Group Operational Risk Compliance Leading Driving projects Attractive remuneration package on offer Sydney CBD basedThe Commonwealth Bank brand is the most recognised brand in the Australian financial services industry. The primary purpose of this role: Support Group Operational Risk Compliance withframework monitoring review initiatives. More specifically your main duties will include: Leading, driving and undertaking Monitoring and Review initiatives within the remit of the GORC Monitoring and Review program; Monitoring the effectiveness of the management of the Group’s key operational Read more […]
Commercial Compliance Specialist
Commercial Compliance SpecialistA brand new opportunity has arisen at the West End base of a world leading Compliance consultancy. This is a fantastically varied role, in a rapidly expanding business would be covering clients such as investment advisors, hedge funds, private equity and institutional brokerages. You would become a vital part of the team advising on and dealing with compliance activities based around UK and Irish regulatory framework. Working directly with the firms clients on a range of compliance work from advising on maintaining and implementing the FCA handbook to carrying Read more […]
Equities Compliance Officer
UBS operates one of the leading global equity businesses with its European operations focused in London. The business encompasses domestic and international equity and equity-related sales, trading and research and exchange traded and OTC derivatives. The Role The firm is recruiting for a compliance professional to join the EMEA Equities Compliance team to assist as one of a team of three providing compliance coverage of the London based Cash Equities and Synthetic Equity businesses. The primary responsibilities of this role, which is based in a location adjacent to the trading floor and covers Read more […]
Senior Compliance Advisory // Defined Contribution
Working in both investment management and the pensions business of this extremely well known and successful financial services organisation, this opportunity is an exceptional way to work with many parts of the business gaining fantastic exposure at a senior level.Key Responsabilities of the role:Advising different business divisions within a Life organisation on regulatory changeApproving Marketing materialOversight of some areas in Compliance monitoringReports and Advice to the Board/ Management Committee Work with Strategic Product MarketingDevelop a regulatory Compliance plan for the DC BusinessRegular Read more […]
Compliance Officer // Global
This extremely flexible opportunity will be focused around advising the business on personnel related regulatory issues, analysis, communication and implmentation of regulation.Responsabilities:Working with the head of the team and colleagues within Compliance and Legal both in EMEA and globally to co ordinate Core Complinace activities.Provide Training/ guindance to the BusinessGABRIEL Regulatory reportingEnsure appropriate records for FCA Approved Persons and Trainaing Competence.Provide input to regular reporting to Senior Managment and Corporate and/or fund boardsRequirements:Compliance experiene Read more […]
Senior Compliance Associate Policies & Procedures
Draft and revise Firm’s policies and procedures for compliance with applicable laws and regulations, working both independently and in collaboration with subject matter experts and internal functions.Under limited supervision, monitor and analyze applicable laws and regulations and resulting regulatory requirements to draft and revise policies and procedures as required. Manage issuance and receipt of compliance policy acknowledgments.Monitor legal and regulatory developments, prepare summaries, and notify applicable staff, as necessary. Present synopses of legal and regulatory developments Read more […]