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Equity Compliance Advisory
A Tier 1 bank based in the City of London is looking to expand its Advisory Team for Equities Compliance. They are looking for an expert on Equities who is comfortable with the exposure that the role will entail.BankThe bank is recognised as being a Top 10 institution in the market. They are looking to expand across Equities, hence the new requirement and this is indicative of their success. The bank is proud of the opportunities available for candidates to learn and develop as part of a successful team, as well as the healthy work/life balance the role offers.OpportunityCandidates will be Read more […]
Core Compliance
Leading financial institution based in the City of London is looking for someone to join their successful and expanding core compliance team.InstitutionThe institution is a leading firm within the City, working with a number of major exchanges, and within a range of OTC markets. The company uses its global reach in order to create truly robust risk management structures for a range of markets. They work across OTC credit swaps, interest rate derivatives and commodities, as well as listed commodities and derivatives, FX and fixed income markets.OpportunityThe opportunity is as part of a strong Read more […]
Compliance Advisor
An exciting opportunity has arisen one of the UK and Europe’s growing Compliance Monitoring Surveillance team. They are looking for a highly motivated Manager, who will be a part of a team that has responsibility to serve as a strategic partner providing assurance that the UK business adequately manages its regulatory risk exposure in line with Risk Policies and Business Standards and that the policies and controls in place to manage these risks operate effectively.OUTCOMESLead independent second line risk-based monitoring, themed reviews and ad-hoc reviews of procedures, business and compliance Read more […]
Compliance control and Change
We are seeking to recruit a Compliance Change Specialist for the finance industry. You will be responsible for complying with the FSA regulations for auditory, compliance, risk and quality and control framework. Assessing and implementing changes, providing on going support to channel initiatives. conducting internal quality and control checks, reporting on areas where improvements are required. Support quality and assurance activity (Fraud, AML, risk queries)Support Front line – telephony Full time hours based over 7 days will need to be flexible with hours. Read more […]
Compliance / Financial Promotions
Based in the Heart of Buckinghamshire, this financial services company seeks an experienced Compliance Officer to join it’s team as a Policy Controller.This is a high profile role within the business and will have responsibility for co-ordinating all policy and letter documentation to ensure it is FCA compliant and minimise risk exposure. You will be accountable for managing the change control process to ensure sign off for new documentation or amendment to existing letters and policies.You will also review current policies, updating as required and delivering training as deemed necessary.The Read more […]
Financial Promotions Compliance
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
Compliance Officer- Structured Products Advisory
Leading European bank based in the City of London is looking to expand its Compliance Advisory Team. The team is currently 5 people, with a wealth of experience across different products. This role will be focussed on Structured Products and it will give the individual exposure across both the bank and the market on a large scale.BankThe bank is a key player in the European market, with a focus on debt. They are well recognised for their strong position in the market and their stability. They are looking to expand across Structured Products, hence the new requirement and they are certainly Read more […]
Compliance Advisory Contractor
Excellent new contract opportunity working for Tier 1 Bank in Compliance Advisory capacity.Focusing on the fixed income, commodities, FX trading area.Key Duties Responsibilities:Provide advice on application of rules and policies to specific transactions and general business activities based on an understanding of business strategies and product portfoliosAdvise on relevant business and Compliance procedures. Incorporate regulatory changes into adviceReview and approve marketing materialsThe creation and implementation of policies and procedures to promote compliance with legal and regulatory Read more […]
Audio Compliance Monitoring Analyst
Top Tier Investment Bank have an excellent opportunity to join there Central Compliance Function. The role is for a global coordinator for our audio communications monitoring process. This involves being accountable for the overall delivery of the monthly monitoring activities on a timely basis.Responsibilities include:Confirming the names of all submitters and supervisors that will be subject to the monitoring process by consulting with ICS Compliance each month.Submitting all requests for data extraction globally on a monthly basis. Producing the monthly Global AComms Monitoring Reporting Read more […]
Unit Link Investment Compliance Specialist Required
This is a fantastic opportunity at a leading Investment Firm who are searching for a Compliance Monitoring Specialist to join their team.You will sit within the Investment Compliance function and report directly to the Chief Risk Officer. Key responsibilities of the function include the delivery of high-quality risk and regulatory guidance, as well as a broad range of oversight, advisory and assurance work.This role would be well suited to a flexible and perceptive individual who crucially has a good understanding of Unit Linked or Funds compliance, within a financial services or life and Read more […]