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Senior Compliance Officer
Responsibilities o Assisting in the oversight of all aspects of an investment advisory compliance program including but not limited to: ? Assisting the firm in assessing inherent risks and conflicts of interests in their respective business lines; ? Developing and implementing policies and procedures reasonably designed to prevent violations of federal securities laws and to address risks and conflicts of interest; ? Developing and implementing transactional, periodic, and forensic testing programs to assess the adequacy of the firm’s policies and procedures; ? Performing compliance testing; ? Read more […]
Equities Compliance
A fantastic opportunity has arisen to join a leading Investment Bank.Based in the City, my client is looking to recruit an experienced compliance officer for the EMEA Equities Compliance Team. The position will be at VP or Director level and will be located on the Equities trading floor.As a senior member of the team, the individual will be responsible for providing compliance support to the EMEA Equities business, including cash equity sales and trading, derivatives marketing, sales and trading, global equity financing and services, ECM, Corporate Broking and the relevant support groups.The Read more […]
Director of Risk, Quality and Compliance
Job DescriptionThe purpose of this position is to lead the implementation, documentation, embedding, maintenance and enhancement of the Risk and Compliance Framework throughout Americas and manage an agreed Risk and Compliance Assurance program to support Platts realize its objectives, protect its assets and reputation, and meet any regulatory and legal requirements. Additionally, this role identifies weaknesses in process, organization structure or individual behaviors and escalates findings to management, making recommendations on the implementation of best practices in order to mitigate risk Read more […]
AVP Compliance Risk Review
Main FunctionOpportunity to join the Global Compliance Risk Review team (“CRR”) supporting the Compliance Risk Review Program for the Americas. The CRR program is designed to independently assess and report on areas of potential reputation or regulatory risk by verifying business understanding and testing compliance with relevant regulations and policies. In the U.S, the CRR team will be primarily responsible for evaluating compliance with Firm policies and procedures in accordance with relevant regulatory requirements including, without limitation, NYSE Rules 342 and 343, NASD Rules 3010(c) Read more […]
Compliance Assistant
The purpose of the role is to assist the Compliance Officer in ensuring that the Branch takes reasonable care to establish and maintain effective systems and controls for compliance with applicable requirements and standards under the regulatory system and for countering the risk that the Branch may be used to further financial crime,Main Duties The jobholder assists the Compliance Officer in carrying out day-to-day responsibilities summarised as follows Maintaining a good understanding of the business, including its organisation, client types, products and markets and keeping up-to-date Read more […]
Compliance Officer- Mortgage Oversight
Role: Compliance Officer- Mortgage OversightCompany: Leading BankSalary: Upto £30,000Location: ChesterRole:A leading Bank is looking for a compliance specialist to come and join them focussing on mortgages. The role is to provide regulatory advice and guidance, carry out monitoring and liaise with key figures across the business. Other responsibilities include operations, vendor management, governance and general compliance. This is a really good opportunity for a compliance professional to gain exposure in one of the worlds leading banks.Requirements:Candidates for this role need to have Read more […]
Compliance Officer Job
Compliance Officer (Job Number: 1309471)DescriptionAML/KYCManages specialized compliance efforts for the Company as they relate to complex analytic regulatory requirements, programs and project development. Conducts detailed analysis of existing/proposed regulation, and industry practices within specialty areas of expertise and helps business develop implement procedures to meet these requirements. Validates specialized control processes to ensure compliance with governing laws and rules. Partners with business managers to respond to findings of regulators and/ or auditors. Manage specialized Read more […]
Markets Compliance Officer
Duties: Regulatory advice and guidance to IPED and their respective support areas (i.e. Legal, Risk, Business Managers Ops, IT etc) Compliance support in a proactive and pragmatic manner to assist in achieving the business goals within a strong compliance culture. Compliance and Regulatory guidance and advice on all new products and product changes, including participation in the relevant review committees. Engagement with all respective areas in the pursuit of providing guidance and advice for the development of products (both current and proposed). Proactive engagement with all other areas of Read more […]
Deputy Compliance Officer
The role of the US Wholesale Banking Compliance Group is to ensure that the firm conducts its business in accordance with internal policies, industry best practices and federal regulations. The Compliance Group monitors for compliance involving anti-money laundering government sanctions programs, anti-tying, insider trading, and the Code of Ethics while working with other U.S. Entities to ensure compliance with Financial Holding Company guidelines. The responsibilities of the US WB Compliance Group continue to evolve as various activities now cross entity lines and require in-depth analysis Read more […]
Trade Surveillance Compliance Officer
On-going performance of the electronic trade surveillance monitoring programmePromptly Investigate and clearly communicate issues arising from the electronic trade surveillance monitoring activities, involving advisory compliance officers as required, follow issues through to full resolution with the business linesParticipate in the overall review programme in conjunction with the risk review team, by providing support in relation to trade surveillance, as requiredMaintain and monitor a database of remedial actions/recommendations arising from trade surveillance, to ensure timely and satisfactory Read more […]