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Regional Vice President, Compliance
Company Western Union Business Solutions is a division of The Western Union Company, a NYSE-traded, Fortune 500 Company. We enable companies of all sizes to send and receive cross-border payments and manage foreign exchange. With deep expertise in moving funds around the globe, access to over 140 currencies, and a global financial network spanning more than 200 countries and territories, we help companies spend less time managing international financial transactions and more time growing their businesses. Role This is an exciting opportunity for a highly experienced Compliance Leader to join Read more […]
Compliance Officer Designate
This is a wonderful developing role within a young and dynamic and diverse alternative asset manager with interests in hedge funds, private equity fund and fund of funds.It is based in Mayfair, London and has offices in London, Dubai, New York , and Boston. It is s a fast growing asset manager with in excess of $3.0bn under management ABOUT THE ROLEThe Legal/Compliance Team currently consists of two lawyers and a Compliance Manager in London and a lawyer in Dubai. Due to the increased workload within the compliance area it is looking for a Compliance Manager who can progress to become Read more […]
Bank Institutional Compliance Lead
Position Description Morgan Stanley seeks a senior level compliance officer to lead compliance coverage for institutional lending and capital market activities of its national bank, as well as provide lead coverage for Transaction with Affiliates (Reg W), Insider Lending (Reg O) and Anti-Tying regulations in Morgan Stanley’s U.S. banking entities. Skills Required •Providing advice and guidance to institutional lending and capital market business units with respect to banking rules and regulations. •Providing advice and guidance with regard to compliance requirements of applicable OCC, CFPB Read more […]
Senior Compliance Manager (Ref: PSH/FIG/JS0114D)
RESPONSIBILITIESEnsure compliance with regulatory requirements and standards and guidelinesReview product documentation to ensure fully compliance with regulatory requirements and policiesAssist in product development by providing specialized product knowledge and advices with qualitative market intelligenceDevelop appropriate tracking reports to monitor the quality assurance, time-critical transaction process, and the requirements of documentation and reporting as set out in the regulationsManage operational risks driven by trading activities by conducting daily, weekly, and monthly reviews Read more […]
Senior Compliance Monitoring Manager
A leading banking group require a Senior Compliance Monitoring Manager to join their Compliance Monitoring team. The role will be based in Birmingham. The role will focus upon the groups retail and commercial banking divisions. The role offers excellent scope for development for even the more experienced professional due to a new UK monitoring plan being designed and embedded in to the business, one which the successful applicant will have a hand in helping to design for their business area.Your main responsibilities will include;Developing a risk based Compliance Monitoring Plan;Leading Read more […]
Project Manager (Regulatory Compliance)
Hays Senior Finance is currently working with a West Yorkshire based financial services business who are keen to recruit an interim Project Manager. The successful applicant will take the lead in the implementation of Financial Conduct Authority requirements across the business. Working with the Senior Management Team, you’ll be responsible for a variety of tasks including: identifying, reviewing maintaining key work streams, stakeholders and project teams; facilitation of gap analysis; production of project plans and running regular project meetings; financial management of of the project; Read more […]
Risk Compliance Analyst
$25B Asset Manager focused on Fixed Income is looking for a Risk Compliance Analyst to work closely with the trading desk and middle office, analyzing the portfolio for risk, and making sure portfolios are compliant with investment guidelines. This is an AVP level role, and ideal candidate MUST HAVE 4+ years risk management experience in FI, and compliance experience is a plus. Must be detailed oriented with outstanding written and verbal communication skills. MS in hard science or finance required. C#, SQL and VBA. Read more […]
VP/Director Control room Compliance
Role: Control Room VP/DirectorCompany: Leading Investment BankLocation: Canary WharfSalary: Upto £110,000Role:A tier 1 Investment Bank is looking for a senior compliance expert to join their control room. The candidate will be required to manage a team, provide oversight, advice and guidance aswell as carrying out advisory and monitoring work. The role has the career progression of eventually becoming Head of the Control Room. Candidates will gain exposure and have access to both the public and private side.Requirements:Candidates MUST have experience of working in compliance in an Investment Read more […]
NBFI Compliance Officer
Role: Senior Compliance Officer- NBFICompany: Large Corporate BankSalary: £90000+ bonus+ benefitsLocation: City of LondonRole:A large Corporate bank is looking for a compliance officer to join their NBFI team. This is a fast growing area of the business and they now operate on an international scale. The person will be responsible for compliance in the division including monitoring, regulatory advice, providing support in committees, regulatory updates and policy work. The candidate will need to work on their own however as the business grows there will be opportunities to grow the team beneath Read more […]
Compliance Monitoring and Testing
Compliance Officer- Monitoring and TestingRole: Compliance Monitoring and TestingCompany: Tier 1 Investment BankSalary: £60,000 – £90,000 + Benefits + BonusLocation: City of LondonSenior Manager / VP up to £90,000 plus benefitsA top tier Investment Banking firm seeks candidates with strong Monitoring or Audit backgrounds to join their Compliance Monitoring team. Compliance Monitoring takes the same diligent approach to reviews that audit would, but expands it to a more investigative approach on matters that relate to regulatory risk such as: Insider Dealing, Market Abuse, Breaches in Policy, Read more […]