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Compliance Officer & MLRO
Responsibilities:responsibility for the compliance in our MIFID firms engaged in long only investment management; Ensure all local regulatory obligations are fulfilled through the implementation and maintenance of a robust compliance monitoring plan including compliance risk assessments;Advise, monitor and where necessary educate the business on the practicalities of implementing and maintaining compliance processes, procedures and actions;Review and enhance compliance policies and procedures to reflect current regulatory requirements in the UK;Provide Investment compliance monitoring (both pre Read more […]
Head of Regulatory Compliance (Ref No. HRC/DK180613)
Our client is a leading global financial services business with strong presence in the region. They are seeking an experienced candidate with sound regulatory knowledge to fill their newly created vacancy as Head of Regulatory compliance. As a lead and key member in this role, the incumbent will oversee implementation of an effective risk monitoring program to mitigate risks and enhance key regulatory relationships. You will be required to design, implement and oversee a process to track regulatory developments and enforcement trends, analyse impact to the Group and generate timely, relevant alerts Read more […]
VP – Fixed Income Compliance
Major Investment bank in the City of London requires a Compliance Officer at VP level to focus on their FX Rates business.The Client: The firm is one of the pre-eminent Fixed Income trading teams in London and consistently ranks in the top percentile for global fixed income. The firm has recently restructured its Compliance Advisory team across all divisions and now seeks to develop it’s coverage into a proactive, on the floor, support function. The Role: You will be responsible for Advising the FX Rates trading team on all aspects of compliance from regulatory change to specific product Read more […]
Fixed Income Compliance Advisory
Our client, a Global Financial Institution is looking for a fixed income compliance advisory to provide support and guidance to their Fixed Income, Currency and Commodities (FICC) 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 […]
Risk and Compliance Manager
This attractive opportunity exists in a commercially focused Superannuation Fund driven to deliver exceptional service and returns for its members. Reporting to the Head of Risk Compliance you will play an integral role in supporting, developing and monitoring the Risk Compliance activities across the organisation.You will be an experienced Risk Compliance professional that has deep knowledge across the Superannuation industry; this includes knowledge of the prudential standards governing the industry and The Corporations Act.You will play an integral role in the ongoing development of the compliance Read more […]
Compliance Standardisation Project Assistant(2yrFTC)
Fantastic opportunity to gain experience on a project crossing legal, risk and compliance with one of the world’s largest independent financial advisory groups.The position will provide support to the Legal, Compliance and Risk teams as they transition to a new global operating model.Roles and responsibilities:The main duties of the Legal, Compliance and Risk Project Assistant will be as follows:Co-ordinate the implementation of standardised compliance processes across global officesLiaise and influence through effective communication with the Legal, Compliance and Risk teams across the Read more […]
Compliance Analyst
Hays Banking are currently recruiting for a Compliance Analyst to work for a large global Investment bank based in Bournemouth. The Global Financial Crimes Compliance (GFCC) organization has over 700 staff members across the world. The team covers both global and business-aligned functions supporting the firm’s Anti-money laundering, Sanctions, and Anti-corruption programs and is lead by the BSA/AML Officer and the AML Operations Executive. The position is part of the firm’s newly formed AML Alert Analysis team within AML Operations. This team will work in conjunction with the AML Investigations Read more […]
FATCA Compliance Project Manager
An exciting opportunity now exists for a Risk and Compliance professional to join a leading global financial services firm in Sydney CBD.An immediate start, working on the FATCA project for a minimum of 6 months.The successful candidate will ideally possess the following skills:-Experience in understanding and implementing relevant legislationAdvising stakeholders on�implications and risk management best practiceKnowledge of, and exposure to FATCAExperience within banking, or broader financial services industryFor a confidential discussion, please contact Sophie Peers at Huxley Associates.To Read more […]
Manager/Senior Manager, Compliance, Macquarie Securities Group
Manager/Senior Manager, Compliance, Macquarie Securities GroupMSG Compliance Contract role Experince working with traders requiredAbout the roleAs a Manager /Senior Manager, Compliance, you will consult with and advise key stakeholders within 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.Key responsibilities:providing advice to the business on compliance implications arising from business changes (e.g. Read more […]
Director, Prime Services Compliance
Reporting to the APAC Head of Equities Compliance, you will have key responsibility for all compliance matters relating to the the prime services business in Hong Kong. There will also be a degree of oversight for the APAC region. You will analyse compliance risks and changes in the regulatory environment and advise business leaders as to the necessary impacts on the business line. This will include but not limited to current policies and procedures, existing and new products and marketing initiatives. As this is a senior management position, you will also be required to enhance key stakeholder Read more […]