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AVP/VP Compliance (Investment Bank)
ETD – Exchange Traded DerivativesPrime brokerageComplianceThis is a newly appointed position reporting into the regional compliance leader. My client, a global investment blank are currently looking to hire an experienced compliance professional with at least 5 years of relevant working exposure. You must have vast exposure and product knowledge within the following areas, Exchange Traded Derivatives (both financials and Commodities) and prime brokerage. You will provide advice on transactions, new business initiatives and other compliance issues that arise, ensuring that business is always compliant Read more […]
Lead PMO – Top Tier Investment Bank – Contract – Global Standards Programme – Global Regulatory – Compliance, Financial Crime, Risk And Contract – £500
To be successful for this role, you must have:Investment Banking experience Be an existing Contractor – or can be made available on a 2/4 weeks’ notice period.You will have a CV which demonstrates: Programme reporting expreince Global Stakeholder engagement – ability to onfidently liaise with Senior Sponsors Management of programme RAIDs A track records of being apart of a large and complex transformational programmes Global regulatory environmentFor more information, feel free to contact me on Kam.Bamrah@alexanderash.com Read more […]
VP OTC Clearing Compliance
Advise the business to ensure compliance with regulatory requirements applicable to current and proposed new activities.Assist in the preparation of the FCM CCO’s Annual Report, and other reports, to the DBSI Board of Directors as required under CFTC Regulation 3.3.Maintain the FCM Compliance Manual to ensure that it is reasonably designed to promote compliance with the Commodity Exchange Act, the CFTC Regulations, and all relevant NFA and exchange rules.In partnership with the Regulatory Response Unit and the Legal Department, represent the firm before regulators in circumstances including exams Read more […]
Compliance Officer II Job
Compliance Officer II (Job Number: 1306626)BNY Mellon is a global investments company dedicated to helping its clients manage and service their financial assets throughout the investment lifecycle. Whether providing financial services for institutions, corporations or individual investors, BNY Mellon delivers informed investment management and investment services in 36 countries and more than 100 markets. BNY Mellon can act as a single point of contact for clients looking to create, trade, hold, manage, service, distribute or restructure investments. Additional information is available at www.bnymellon.com.Pershing Read more […]
Compliance Advisory
An outstanding role at a leading City based investment bank The role will protect the firm’s brand and enable achievement of business goals through an integrated compliance culture and program across the enterprise by:Aligning regulatory priorities with the BusinessCreating and maintaining an effective relationship with regulators to enable reputation and regulatory issues to be appropriately managed;Establishing and maintaining a strong, effective control environment; andIdentifying and communicating compliance risks inherent in the business to senior management and the business.PRIMARY RESPONSIBILITIES:Senior Read more […]
Compliance Associate Director / VP
A Tier One investment bank seeks an Associate Director / VP level Compliance Officer to join their team to focus on providing advice to the Retail Structured Products sales teams. Main DutiesIn partnership with Equities and FICC Compliance Advisory teams, your role will be to provide advice and Compliance support to Structured Products Sales and Distribution Sales teams. Responsibilities: • Establishment and ongoing development of the Structured Products Distribution Framework globally in relation to compliance within a domestic, regional and global context. • Implementing policy/procedures Read more […]
Portfolio Compliance Officer (Equity & Fixed Income) for Leading Investment Management Firm
Portfolio Compliance Officer (Equity Fixed Income) for Leading Investment Management Firm Salary – Excellent compensation + benefits bonus Location – Philadelphia, PA Description A leading Global Investment Management firm is looking to expand its portfolio compliance group with an analyst level hire. The position will report directly into the senior manager within the group and will have the opportunity to gain experience and exposure across multiple aspects within the business. The main responsibilities will be heavily involved around ensuring pre and post trade compliance for the fixed Read more […]
IBD & Syndicate Compliance Officer
This candidate will work in close coordination with other IBD Syndicate Compliance officers to provide product advisory compliance coverage, primarily for the firm’s Equity Syndicate activities in the U.S. Main Duties Primary compliance coverage of U.S. Equity Syndicate and secondary coverage of other private-side investment banking activities. Key duties include:- day-to-day coverage and guidance for Equity Syndicate activities, including in connection with registered equity and equity-linked offerings, block trades and exempt securities offerings,- proactive management and resolution Read more […]
SHARIAH / SHARIAH COMPLIANCE / ISLAMIC LAW / COMPLIANCE OFFICER / BANKING
MAIN DUTIES1. Responsible for all compliance issues including Shariah issues in relation to the Bank’s Malaysian activities.2. Responsible to ensure that internal compliance policies and regulatory requirements are adhered to within Malaysia, through advisory work, monitoring procedures, processes, raising awareness initiatives or in-house training sessions.3. Responsible for understanding the Bank’s entire internal compliance functions and various business areas within Malaysia.4. Responsible to keep abreast of new products, technologies and applications as well as their implications for respective Read more […]
Compliance Manager
Compliance ManagerLeading Global Asset Management Organisation is seeking to recruit an experienced Compliance contractor to cover a position for a short-term period within the Advisory team of the Compliance Department. The Compliance team in the UK is responsible for advising on regulatory matters; supporting new product development and monitoring key controls. This involves working with all areas of the business and colleagues globally.The contractor should have experience of the following Advisory areas:Advising and working on UK authorised funds (OEICs) and advising the retail business; Read more […]