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Compliance Officer- Risk Assessment and Review
Role: Compliance monitoring and reviewsCompany: Tier 1 Investment BankSalary: £50,000 – £90,000 + Benefits + BonusLocation: City of LondonSenior Manager / VP up to £90,000 plus benefitsManager up to £55,000 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 […]
Energy Legal Counsel, Compliance & Regulation
The primary objective of the role will be to provide support and assistance to the Senior Legal Counsel and the Head of Compliance in promoting and continuing to develop a culture of compliance within the business, designing compliance policies and procedures and providing compliance advice.You will be required to manage a portfolio of compliance activities including: promotion of compliance culture, giving advisory opinions, supporting financial crime/market conduct programs, conflicts management, providing compliance training, applying knowledge of energy and financial commodity products, approving Read more […]
Senior Manager, Compliance
Role This position provides significant contribution to the development, implementation and enforcement of policies, procedures, and programs designed to minimize potential regulatory risk for Western Union Business Solutions within the established strategies of the Compliance Department. Key responsibilities will include:Provides substantial assistance to Department management in the development of overall Department strategies, goals and initiatives.Maintains complex reporting and regulatory relationships with regulatory agenciesProvides training, job performance, counselling and resource support Read more […]
Global Compliance Analyst
Responsible for assisting with a variety of activities related to the compliance function in an effort to ensure compliance with regulatory requirements, operating policies, and fund/client imposed investment limitations The position job holder will assists in the preparation and filing of regulatory reports and related administrative responsibilities, and in the completion of fund and client account analyses KEY RESPONSIBILITIES Performs daily reviews of security positions held by mutual funds and separately managed accounts to ensure compliance with all regulatory requirements, operating policies, Read more […]
Commodities focused Trade Surveillance Compliance Officer for Leading Energy Trading House | New York, USA
Commodities focused Trade Surveillance Compliance Officer for Leading Energy Trading House | New York, USA Salary – Excellent compensation + benefits bonus Description A leading US based energy trading house is looking to add a senior trade surveillance specialist to report directly into the CCO and liaise directly with the front office. The roles responsibilities will be primarily based around building and maintaining the trade compliance program and monitoring the extensive trading activity across the derivatives and physical energy markets. The role will have regular liaising with the Read more […]
Senior OFAC Sanctions Compliance Officer required for a leading investment bank in New York
Description A leading global investment bank is seeking a strong senior regulatory compliance officer to specialise in the OFAC sanctions space. The role will be required to aid in the development and maintenance of the OFAC sanctions programme. The role will report directly into the Head of Regulatory Compliance and be required to liaise with various senior managers from a multitude of business lines. This will allow ample senior management exposure resulting in increased career progression. Key Requirements5+ years experience within a regulatory compliance group focussing on OFAC SanctionsExcellent Read more […]
Manager, Compliance, Macquarie Securities Group, Risk Management Group
Manager, Compliance, Macquarie Securities GroupPractical experience managing compliance on a trading floor required Global Financial Services institution experience Martin Place locationAbout the roleAs a Compliance Manager, you will consult with and advise key stakeholders within Macquarie Securities Group (MSG) to ensure Macquarie continues to meet the obligations of its regulatory and compliance framework. An experienced compliance practitioner, your ability to engage, consult with and influence senior stakeholders will be critical to your success. You will be rewarded with a high level of autonomy Read more […]
Hedge Fund Compliance Officer
Responsibilities: This position will focus on the following primary responsibilities: • Support buy side research activities including the use of consultants, interactions with the sell side, surveillance of electronic communications, trading activity and internal research write ups • Work closely with the Firm’s portfolio managers, research analysts and traders to gain an understanding of and rationale for certain trading activity • Provide ongoing support to front office professionals. Serve as a point of contact for front-office in the event they may have received potentially material Read more […]
Chief Compliance Officer
Responsibilities: The Chief Compliance Officer is responsible for identifying and managing industry regulatory compliance issues and the impact it may have on the firm’s trust group, the Registered Investment Adviser and the BSA/AML program. The ideal candidate will develop and maintain internal compliance policies and procedures; work with regulatory agencies to resolve problems and implement new regulatory procedures. Must be knowledgeable of OCC and SEC rules and regulations and able to execute an annual plan that is in compliance with these rules and regulations. Work with clients, Read more […]
Global Markets Compliance Manager
Responsibilities· Support and assist senior line management of Global Markets (Cash Equities, Equity Derivatives, Foreign Exchange, Futures, Interest Rates, Prime Finance and Balance Sheet Management) in Hong Kong and the Asia-Pacific region to comply with all relevant external regulations, codes of conduct, internal codes/policies and good market practice that affect Global Markets business in Asia-Pacific.· Rotation with various Global Markets Compliance teams (Central Compliance – Regulatory Licensing, handling regulatory request, trade monitoring and surveillance, and Control Room Compliance Read more […]