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Senior Compliance Officer
A leading investment bank based inCanary Wharf is seeking to appoint a Senior Compliance Officer to join a well established Equities Advisory team.The incumbent will be responsible for providing advice and compliance support to the Equity Derivatives and Equity Funds Structured Markets business including Equity Derivatives, Convertible Bonds, Fund Linked Derivatives and structured products.ResponsibilitiesProvide day to day compliance support to the Equity Derivatives, Sales, Trading and Structuring businesses Assist in the development and the roll-out of bespoke Compliance training programmesAssist Read more […]
Compliance Consultant
Fantastic contract role in policy and advice working for wealth management arm of top tier bank! Key responsibilities Provide advice and guidance to all levels of the business concerning rules, regulations and internal policies procedures (global, regional and divisional) as they apply to the UK Wealth Management business. To liaise and work together with colleagues in other jurisdictions, departments and functions to find compliance solutions to business issues or concerns. Previous wealth experience is essential
Retail Bank-Senior Regulatory Compliance Manager
A leading retail banking institution is currently looking for a senior regulatory compliance manager responsible for the support and guidance on regulatory issues to a broad spectrum of retail business units. You will be assessing new and existing product offerings against the regulatory obligations of the firm. Regulatory risk assessment is a major aspect of the role as is the provision of appropriate guidance and solution provision. We are looking for a candidate with in depth knowledge of FCA / FSA rules and regulations as they apply to retail banking institutions.You will be a strong communicator Read more […]
COMPLIANCE
Our client is a global investment management company with an unparalleled reputation across the Asia Pacific region. It provides companies, institutional investors and high-net-worth clients with asset management services worldwide. With the continued growth of the organization, the need has arisen to recruit a high caliber professional to join their Compliance team in Hong Kong.You will be responsible for executing and maintaining compliance monitoring processes, conduct compliance review and various reporting. Establish and execute compliance monitoring programs to ensure compliance policies Read more […]
Compliance Manager
The Job:Participate in defining and establishing Compliance Risk Management Infrastructure and monitoring the frameworkParticipate in the annual compliance cycle planning, including the Compliance Chart update and monitoring test plansConduct regular compliance risk assessments, execute the compliance monitoring plan and the related issues analysis, remediation and reporting to ensure adherence to compliance risk thresholds authorized by Governance CommitteesAdvise business functions on compliance issuesParticipate in the review of sales, product and training materials for adherence to disclosures, Read more […]
Compliance Director
One of the largest investment management firms in Boston is adding a unique position to its compliance team, responsible for establishing the strategic direction of the program. This person should be a “jack of all trades” in the compliance arena, and needs to handle and oversee new controls based on regulatory risks, forensic audits, the code of ethics, and any other drivers they can identify that will shape the firm’s control program. The Director is responsible for analyzing risks related to the firm’s compliance structure and for investigating, reporting on, resolving, escalating, and addressing Read more […]
Compliance Officer-Mortgage Servicing Vendor Management
Position Description Morgan Stanley seeks a key Mortgage Division Compliance Officer under Morgan Stanley Private Bank, National Association (MSPBNA) to implement the Monitoring Testing (MT) Program for all residential mortgage loan servicers outsourced by Morgan Stanley. Emphasis will be on the development, implementation and on-going maintenance of a MT Program for vendors performing mortgage loan servicing, loss mitigation or foreclosure functions. The position will interact with various corporate functions, i.e. Legal Compliance, Operational Risk, Technology, Privacy, Business Continuity, Read more […]
Futures and Forex Compliance Manager
You will work closely with a senior management team that recognizes the critical importance of compliance as you implement policies and procedures that provide a stable foundation for the firm. The ideal candidate will be able to combine exemplary knowledge of SRO and exchange rules with a keen understanding of the trading and clearing business in their approach to implementing compliance solutions.This position will likely become a management role within the upcoming 6-24 months as the firm grows in customer business and scope and the candidate proves themselves as an individual contributor Read more […]
Compliance Analyst,Off
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 […]
Senior Compliance Manager
Our client, a global private bank is looking for a Senior Compliance Manager to provide advice, guidance and support to the front office in all aspects of their private banking business. The individual would help to develop and maintain regulatory standards to enhance and protect the reputation of the firm.Duties Include:· Manage a team in providing regulatory guidance and advice to the business.· Provide detailed compliance advice and guidance in relation to existing and new business initiatives.· Ensure that the business maintains the requisite Read more […]