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Trade Advisory & Compliance Manager for Highly Successful Energy House – NY Tri
The firm are looking for a highly motivated and commercial individual who will monitor and advise the traders on a daily basis in order to streamline the business and promote the success of the firm overall. Required skills and experience include; MSc Level Academic Degree in a financial or mathematical fieldExpertise in compliance with knowledge of energy marketsExperience within a trade monitoring and advisory positionExcellent communication skills with previous exposure to a trade floor environment
Trade Advisory & Compliance Manager for Highly Successful Energy House – NY Tri
The firm are looking for a highly motivated and commercial individual who will monitor and advise the traders on a daily basis in order to streamline the business and promote the success of the firm overall. Required skills and experience include; MSc Level Academic Degree in a financial or mathematical fieldExpertise in compliance with knowledge of energy marketsExperience within a trade monitoring and advisory positionExcellent communication skills with previous exposure to a trade floor environment
Vice President- Compliance
Moody’s is an essential component of the global capital markets, providing credit ratings, research, tools and analysis that contribute to transparent and integrated financial markets. Moody’s Corporation (NYSE: MCO) is the parent company of Moody’s Investors Service, which provides credit ratings and research covering debt instruments and securities, and Moody’s Analytics, which offers leading-edge software, advisory services and research for credit and economic analysis and financial risk management. The Corporation, which reported revenue of $2.3 billion in 2011, employs approximately 6,100 Read more […]
Compliance Manager, Asset Management
Role Context:This is a key role within AMG in supporting the global business meet its strict fiduciary responsibilities across multiple jurisdictions and the very high internal, and regulatory, expectations arising therefrom. The Compliance Manager works closely with the Global Head of Compliance (GCO), ensuring optimal advice is provided for a broad-range of asset management services within AMG.Key Responsibilities:Ensure an appropriate framework of compliance standards is implemented across the AMG global business, in conjunction with the GCO.Liaise with AMG Compliance Officer’s in respect Read more […]
UK Risk and Compliance (CF10/CF10a/CF11)
To ensure and manage the firm’s responsibility to comply with all UK (and where applicable European) regulatory, legislative and statutory requirements, and minimize risks through effective monitoring and communication. Support the wider Group, where necessary, in other global initiatives requiring regulatory input.Performing the FCA CF10 CF11 controlled functions.Enabling the business to identify and understand the key areas that drive risk within their business, as well as the regulatory influence on the business strategy, and daily operations.Main Duties and responsibilitiesDevelop robust strategies Read more […]
Consumer Compliance Professionals
Need 50+ Regulatory Bank Consumer Compliance Professionals for Permanent Positions -Top Notch Advisory Firm In The Banking Sector –Fantastic BenefitsGreat Career Path – Get Promoted When You Are Ready To Move To The Next LevelFantastic Opportunity with Significant Exposure to Tier 1 BanksGreat work life balanceMentored by top talent in the industryWe need professionals in NYC from Associate level to a Managing Director level and everything in between. We need to hire 50+ individuals. The interview process will be very quick!The firm has great benefits, compensation and career path. The Company Read more […]
AML Compliance Experts
Need 50+ AML Professionals for Permanent Positions -Top Notch Advisory Firm In The Banking Sector – Fantastic BenefitsGreat Career Path – Get Promoted When You Are Ready To Move To The Next LevelFantastic Opportunity with Significant Exposure to Tier 1 BanksMentored by top talent in the industryWe need AML/BSA Professionals in NYC from Associate level to a Managing Director level and everything in between. We need to hire 50+ individuals. The interview process will be very quick!Bank AML/BSA Compliance ExpertsThe firm has great benefits, compensation and career path. The Company will consider Read more […]
Fixed Income Capital Markets Compliance Officer
Position Description Job Title: Fixed Income Capital Markets Compliance, ED1. Job ObjectiveTo co-ordinate and assist the Firm as a whole in compliance with UK legislation including FCA rules and regulations and applicable EU and overseas legal and regulatory requirements.2. Job DimensionsThe Compliance Department is a service-oriented department which provides guidance and advice to all business and support staff at the Firm, including sales, trading, research, investment banking, capital markets, financial, administration and infrastructure staff.The Department provides general transactional guidance Read more […]
Compliance Officer
About the clientLeading Investment firm with an excellent International reputation and presence are looking to hire a high calibre individual for their UK Compliance team.About the roleThis is an excellent opportunity for a Compliance professional to join an established and well run firm. The duties and responsibilities of the role will include co-ordinating global approval of financial promotions liaising with colleagues internationally and providing advice on marketing restrictions.The role holder will ensure all marketing materials are approved and compliant with COBS 4 as well as conducting Read more […]
Compliance Analyst
Job ID: 13152Position Description: POSITION DESCRIPTION:This is a challenging and exciting opportunity to work within the Legal/Compliance department, supporting PIMCO’s proprietary compliance software – Automated Compliance Environment (ACE). Primary responsibilities will include the creation and automation of rules based on investment guidelines. The candidate will need to ensure that the guideline interpretations of account’s restrictions are accurately reflected in ACE. In addition, this role requires participation in numerous analytical/technical ad hoc projects aimed at automating account Read more […]