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Compliance Advisory, VP
Compliance Advisory, VPThe ClientOur client is a first European Bank well established in Asia.The RoleThey are recruiting a compliance officer at VP level who is going to focus on compliance advisory for FICC. The position will be based in Hong Kong and the main responsibilities are:· Cover compliance issues related to FICC· Update and manage SFC, HKMA and HKex regulations· Provide staff trainingThe Future· Access a growing team with strong commitment to excellence· Opportunity to liaise with different teams· Read more […]
Compliance Officer
A fantastic opportunity has arisen to join a Global Asset Management firm Based in the City, they are looking to recruit a compliance monitoring assistant on a 3 month contract. The new hire will be responsible for:· Undertaking compliance monitoring tasks from the annual monitoring programme· conducting document monitoring reviews to access compliance.This is an excellent opportunity for a dedicated professional looking to advance their career and gain further experience within one of the leading Asset Management firms. If you feel you meet the above specifications please do not hesitate Read more […]
Senior Compliance Officer, Compliance Operations/Non-UK
Position Description The individual’s key responsibilities will include support for regulatory interactions in the UK and across the EMEA region, management of a variety of UK-based and international projects, and ownership of various operational functions within the Compliance Department, such as the EMEA Compliance Plan, Risk Assessment and Compliance management information.Responsibilities• Contact with regulators o Provide support in managing relationships with the Firm’s regulators.o Co-ordinate with internal departments on regulatory submissions, including oversight of responses to thematic Read more […]
Control Group Compliance Officer (Director / Vice President)
Position Description 1. Job ObjectiveTo assist Morgan Stanley, to comply with the regulatory and legal obligations across all the global jurisdictions in which it conducts business.2. Job Dimensions The EMEA Compliance Department is a service-oriented department which provides guidance and advice to all business and support staff at the Firm, including Institutional Securities (comprising Sales Trading, Research, Investment Banking) Wealth Management and Asset Management (comprising both Traditional Asset Management and Merchant Banking and Real Estate). The Department also provides services to Read more […]
Compliance manager
A leading Lloyds of London underwriting firm is currently looking for a candidate to work within the compliance function as a compliance manager. Working as a compliance manager you will be responsible for the on going monitoring of underwriting activity ensuring that the firm remains compliant to all relevant regulation. You will be assessing the regulatory risk factors for the business and will be responsible for the ongoing updating of policy manuals based on new and existing regulatory change. This role would suit a candidate with prior compliance experience within the insurance industry.Knowledge Read more […]
Contract Compliance Monitoring Wealth management
The role sits within the wealth and asset management arm of a tier 1 institution and will involve oversight and project management of the carrying out of the UK AM Compliance risk based thematic Monitoring Programme and advisory across the business.The successful candidate will have strong regulatory knowledge and experience of the financial promotions environment, approval of marketing material and press releases across the AM UK business. In particular in relation to the FSA Conduct of Business sourcebook (Chapter 4) and other European Directives including MiFID.Responsibilities will include:Provide Read more […]
Head of Compliance Monitoring
Our client, a global financial institution is looking for a Head of Compliance Monitoring to manage a team in helping to ensure that the global market business meets its regulatory obligations. The individual would help in identify and mitigate risks across the business and help promote a proactive regulatory culture.Duties Include:Manage a team of compliance monitoring specialists in delivering on regulatory objectives defined by compliance assurance plan.Regularly assess the adequacy and effectiveness of policies and procedures in place to monitor the business.Review work undertaken by staff Read more […]
Fixed Income Compliance Adviser
Our client, a Global Financial Institution is looking for a fixed income compliance adviser to provide support and guidance to their Fixed Income, Currencies and Commodities business. The individual would help support the compliance function in identifying and mitigating risks across the FICC business and help promote a proactive compliance culture within the firm.Duties Include:Provide floor-based advisory compliance support to the FICC trading, sales and distribution business.Maintain compliance knowledge of current and future regulatory issues that affects the FICC business.Deal with issues Read more […]
Compliance Business Analyst
Business Analyst, Compliance, Conduct Risk, Conflicts of Interest, Financial Crime, Trade Surveillance, Investment Banking My client, a leading Investment bank, requires two business analysts to work on a variety of compliance related projects, including Conflicts of Interest and Conduct Risk. The successful candidate will be required to Responsible for gathering requirements and creating functional specifications by liaising between users and technical teams to analyse requirements, design solutions and manage the development and deployment of resulting projects. Ensure accurate conversion of Read more […]
Compliance Officer
and providing assurance that all operations are conducted in line with relevant regulatory rules and requirements. This will involve providing advice and guidance to the business on day to day queries and also provide input to projects. You will also ensure the business are aware and updated in terms of regulatory requirements and changes, including delivering relevant training where required. Further, you will plan and conduct monitoring reviews and produce reports. The review of complaints and financial promotions material will also fall under your remit. The right person for this role will have Read more […]