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Senior Compliance Advisor
Our client, a Global Financial Institution is looking for a Senior Compliance Advisor to join their compliance department and provide regulatory guidance and advice to their DCM ECM business. The individual would help in identifying and mitigating risks across the business and help promote a proactive regulatory culture.Duties Include:Provide transactional and regulatory advice to the business and support functions.Liaise with Senior Management and advise on regulatory matters.Provide compliance input on new business initiatives and respond within agreed timescales.Ensure the business is compliant Read more […]
Senior Trading Risk & 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
GFTS Compliance Tech
Responsibilities:Project manager position will be responsible for rolling out E-2-E reconciliation, HRAC, EWRA related regulatory projects.Project Planning, Execution and ControlEnsure milestones and activity details are agreed and signed off by stakeholders.Partner with project managers and stakeholders to support major global initiatives.Define and ensure appropriate project governance, methodology, and best practices.Manage risks/issues, ensure corrective actions and ownership is defined in a timely manner.Support objective and standardized project reporting.Resource and Budget managementManage Read more […]
Security Compliance Analyst- Security Framework, CISCO, ITS
Security Compliance Analyst- IT Security Standards-CISSP- CIA- AAA Security Compliance Analyst- IT Security Standards-CISSP-CIA- AAA- Compliance Monitoring Framework- ITIL- Patch Management- Networks, Cisco devices- Windows- Solaris- AIX- Perm- 55k+ car allowance+ other benefits- Hampshire A well respected financial services company requires a Security Compliance Analyst with prior experience in a blue chip organisation to design, deliver, and operate a Compliance Monitoring Framework. A strong security background is vital and an excellent understanding of IT Security Standards Read more […]
Equities / ECM Compliance Officer
Position Description 1. Job overview:As a senior member of the EMEA Equities Compliance team, the focus of this role will be providing advisory services to Equities and ECM business units in EMEA. The specific desk focus of this role will be tailored according to the experience of the candidate. Morgan Stanley has leading franchises both globally and in EMEA in Equities and ECM. The EMEA business comprises approximately 850 Sales Trading employees and is based at its regional headquarters in Canary Wharf, London.2. Principal duties: (a) Advisory services: providing advice to the business unit Read more […]
Investment/Transactional Banking Compliance Manager
Assist in review of the regulatory requirements of the Central Bank UAE and other regulatory authorities to ensure that these are incorporated into the bank’s policies and procedures.Assist in setting up the monitoring programs to monitor transactions and interface with different counterpart (mainly Sanctions AML Teams) to obtain needed information.Assist with reviews of new initiatives projects by conducting research and providing data as directed.Work with internal groups to ensure consistent understanding of requirements.Apply a Risk Based Approach to appropriate due diligence to ensure that Read more […]
Compliance Associate,Sr Assc
Our CompanyState Street Corporation (NYSE: STT) is the world’s leading provider of financial services to institutional investors including investment servicing, investment management and investment research and trading. With $25.42 trillion in assets under custody and administration and $2.18 trillion in assets under management at March 31, 2013, State Street operates globally in more than 100 geographic markets and employs 29,460 worldwide. For more information, visit State Street’s website at www.statestreet.com.Promoting a culture of excellenceWith more than 29,460 employees across 29 countries, Read more […]
Regulatory Compliance Manager
Required ExperienceA proven, in-depth understanding of regulatory framework as it applies to wholesale firms, for example; capital requirements, MiFID, AIFMD, relevant Business permissions etc.A background in Compliance, Regulatory Risk, Conduct Risk, or Operational Risk from a Wholesale or relevant Asset Management business is essential for this roleAn understanding of the supervisory and enforcement approach to regulation.Excellent relationship management skills to enable credible engagement with senior internal and external stakeholders.A proven track record in managing teams with volume Read more […]
Information Security & Compliance Officer
Overall responsibility for the Information Technology security, compliance and governance of the ePassports, eID Cards, eResidence and other related systems in the Malta site. The role holder will be required to ensure local compliance to Group IS Security policies, International IS027001 and tScheme standards and industry regulations as well as third party suppliers. Working within the firms guidelines and policies this role will be fully conversant with the information platforms, software and network designs as well as the hardware. All compliance must fall in line with both internal and Read more […]
Investment Compliance Manager
A wonderful and diverse new role with a leading global fund manager You will take take responsibility for establishing and subsequently maintaining the compliance, oversight and escalation framework that will underpin all investment supplier relationships, including the implementation of the risk based compliance monitoring programme covering all discretionary fund managers and custodians responsible for managing assets. This will include actions arising from the framework to ensure we have the necessary controls in place and lead the development / implementation of any remedial actions Read more […]