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Portfolio Compliance Monitoring Analyst
One of the leading Global Fund Managers, requires an experience compliance specialist with experience gained within Portfolio Monitoring. The role sits as part of the wider investment compliance team and will monitor trades and transactions to ensure there are no mandate or regulatory breaches.This role sits in a very dynamic team, that is growing steadily due to the increased requirements for more specific monitoring and increased investment in technology to enhance their monitoring capabilities. Your key responsibilities will include;To support front office compliance trade monitoring programme Read more […]
Director – Head of Data Privacy Compliance
One of the top investment banks in London seeks a Director to lead their Data Protection focus across EMEA. This is a highly visible role within a massive global investment bank, dealing with critical issues that impact all of the bank’s operations services. Data privacy and protection is one of the most critical areas of risk within the bank and is central to the Compliance function globally. Seated in London, you will report to the EMEA Head of Operations Technology Compliance as well as the Chief Privacy Officer based in New York.THE ROLE: Data Privacy Protection will be the principal Read more […]
Compliance Officer
Opportunity working for a growing but established Corporate Banking business in the city. A stable CV and monitoring focus is essential.Key duties Assist the compliance monitoring manager to develop a risk based compliance monitoring programme.Produce compliance risk assessments.Prepare compliance risk monitoring work programmes and in accordance with the Banking Division’s methodology.Carry out monitoring reviews as directed by the compliance monitoring manager.Produce monitoring reports in the required format and to the required standard.Ensure that appropriate regulatory training is provided Read more […]
Compliance Assurance Manager
One of London’s premier private banks is seeking a Compliance Assurance Manager to build out the assurance framework. This is a chance to join a reputable bank in a position of influence during an exciting time in its history.The company offer an excellent working environment, with a business that truly buys in to the importance of compliance and a company that has and will continue to invest heavily in to its compliance function. The team has a very strong management team who can offer continued development to the successful candidate.You will:-Execute compliance assurance reviews scheduled Read more […]
Compliance Monitoring Manager
A leading global bank requires a Compliance Manager to join its Monitoring team in its Private bank in the West End. The role has come about due to the banks continuous expansion and its commitment to being a global leader in financial regulation and standards.The successful candidate will be responsible for carrying out independent compliance monitoring across the Private Bank to ensure the continuous identification and review of potential regulatory risks. Reporting to the Compliance Monitoring Manager and working with the wider Wholesale Compliance Monitoring Team you will assist with the Read more […]
Compliance Advisory Assistant
Corporate and Retail Banking Opportunity – Compliance Advisory role on a 3 month contract basisEstablish a good working relationship with the finance business.Provide advice, guidance and support on regulatory issues as required.Establish a good working relationship with the local Risk team and with the banking division legal team.Be a member of local Risk and Compliance Committee.Preparation of reports and MI for the Head of Banking ComplianceEnsure that efficient and effective compliance monitoring is carried out in accordance with the Bank’s risk based monitoring methodology Review financial Read more […]
Compliance Monitoring Manager
A leading global bank requires a Compliance Monitoring Manager to join its Corporate Commercial banking business. This is a global business unit, and is the banks primary business. The role has come about due to the continued expansion of the bank and its commitment to mitigate regulatory risk.The successful candidate will be responsible for identifying potential regulatory risks and the planning and completion of compliance reviews. There will also be the requirement to assist in the continued development and design of the compliance monitoring plans as set out by the group. The role of Read more […]
Senior compliance monitoring manager
Compliance Monitoring OfficerA compliance role, based in the City of London, offering top-bracket salary.You will be working for a Top 10 Investment Bank, as a Compliance Monitoring Officer for the Capital Markets. The bank offers a full range of services across the Capital Markets, offering candidates wide exposure across a variety of products. The bank offers you the opportunity to work in a highly successful, yet relaxed and informal environment.The vacancy has arisen as a result of continued success, which was sparked by their strong balance sheet entering the recession. As the institution Read more […]
Compliance Monitoring Contractor
Talk to a consultant Talk to Katherine Lord, the specialist consultant managing this position, located in London Contact consultant ttelephone:0203 465 0110 ffax:020 3465 0003 5th Floor, 107 Cheapside, London, London, United Kingdom, EC2V 6DB Read more […]
VP Compliance Monitoring Manager – Europe
A group function of a global bank is looking to strengthen their Monitoring and Testing team and are hiring for a VP to assist in the co-ordination, overseeing and carrying out of compliance monitoring activities within the group in-country teams across the Europe region in order to ensure that Monitoring standards meet the Group’s Global Standard and the expectations of key stakeholders.Responsibilities:-Ensure local monitoring activities are in accordance with Global monitoring policies and conducted as a second line of defence. -Ensure local monitoring activities provide adequate coverage Read more […]