Search Results
Advice Team Manager, Compliance
Under the Head of Policy, this advisory role is a senior management position focusing on policy and advice to the Coprorate function· Leading, motivating and developing a diverse team of Compliance technical advice subject matter experts, ensuring provision of appropriate specialist expertise, support and challenge to all the CBD businesses and central functions, including delivery of the Operational Plan by the team.· Supporting the CBD business in achieving its strategic goals through delivering consistent and clear advice to the various business and functional initiatives.· Ensuring Read more […]
Regulatory Compliance Manager for CASS
You should have an excellent understanding of the FSA CASS rules and implementation and have the experience and gravitas to liaise effectively with regulators, line management and risk.KEY RESPONSIBILITIES:Provide specialist advice for CASS Compliance Monitoring and new products to achieve consistency across the business and create a strong “CASS culture.”Ensure that policies procedures for compliance monitoring reg implementation is up-to-date and appropriate.Conduct CASS investigations initiated by regulators and/or HR disciplinary procedures.Monitor internal and external audit findings for Read more […]
Compliance manager
We are seeking a self motivated, experienced individual to join a team that supports the investment banking activities of the firm as well as managing the private side activities of all other business groups such as Fixed Income and Commodities Group, Corporate Asset and Finance Group and the Macquarie Infrastructure and Real Assets Group in order to manage potential conflicts.This role will also act as key control liaison between private and public side teams to ensure Macquarie fulfils its legal and regulatory obligations and avoids reputational damage. The role requires regular interaction Read more […]
Compliance Officer
The PositionOur client, a global, award-winning private equity firm, is currently going through the next phase of it’s growth, and as such has a rare opportunity for a Compliance Officer to be based in the Channel Islands, at their Guernsey office. This role reports directly into the Head of Compliance, based in London. Your tasks in this role will include:Understanding Guernsey regulatory rules and ensuring Guernsey regulations are being followedMonitoring, completing checks and updating of regulatory task lists for Guernsey which lists on-going regulatory obligationsLiaising with global teams, Read more […]
Senior Manager, Compliance
You will oversee the compliance functions of the Fiduciary and Corporate Services operations within Singapore and will have primary responsibility for ensuring that the Trust Corporate files are kept in compliance with the Trustee licensing requirements of the Monetary Authority of Singapore (MAS) and the internal group policies. Acting as the Money Laundering Reporting Officer, you will review, implement and maintain the Group’s compliance, AML and procedure manuals and internal forms to reflect any regulatory changes from time to time. You will keep the Senior Management up to date with Read more […]
Senior Financial Crime Compliance Manager, Sanctions
A global banking group require a Senior Financial Crime Manager who will specialise on Sanctions to cover their Retail, Corporate and Commercial banking business. The bank are one of the most recognisable and well regarded brands in banking. They offer an exceptional working environment and are very compliance forward in their company culture. The Role of Senior Financial Crime manager will require the successful applicant to provide advice, guidance and support stakeholders, including both AML Advisory teams, business lines and operations on sanctions regimes including UN, EU, UK US. The Read more […]
Compliance Surveillance Analyst
The successful applicant will be working within the Compliance Surveillance team and will have the responsibility for reviewing, analysing and investigating the alerts that have been generated. Alerts will be targeted for market abuse scenarios as well as other potential breaches of company policy.Your responsibilities will include:Reviewing/monitoring communications that have been generated by employees by instant messenging, emails and other communication channels.Reviewing/monitoring multi asset class trading activity of the companyConducting investigations on the back of the alerts, including Read more […]
Investment Compliance Associate
Our client is looking to build out their investment compliance team with a compliance associate. The Compliance Associate will be responsible for all portfolio compliance monitoring, pre-and post-trade approval, performing compliance review and portfolio analysis, and prepare guideline coding and reporting. The qualified candidate will possess:* Bachelor’s degree* Strong fixed income product knowledge* 2-4 years of experience in financial services with at least one in compliance* Detail orientated Read more […]
Senior Compliance Analyst, Capital Markets| Los Angeles, USA
US financial firm focusing on capital markets advisory is currently seeking an experienced Compliance Analyst to join its Los Angeles office. Due to growth in the business there is an urgent need for compliance professional with extensive knowledge of FINRA and SEC regulations. Responsibilities:Perform reviews of Capital Markets supervisory process to ensure complianceAct as liaison for the business to regulators.Ensure Capital Markets management and personnel are conforming to current rules and regulationsKnowledge of the current regulatory environments and ability to implement this knowledge Read more […]
Equities Trading Floor Compliance
Additional responsibilities will include a role coordinating with foreign affiliates on cross-border electronic and algorithmic trading initiatives and activities. The candidate should have experience and a strong working knowledge of US equity markets and rules and regulations relating to electronic trading including but not limited to the Market Access Rule, Trade Reporting rules, Reg ATS, Reg NMS and Reg SHO. In addition, the candidate will: • Lead the Compliance Advisory program to assess the regulatory/compliance controls of the Firm’s Electronic Trading Platform which includes Direct Read more […]