Search Results
Asset/investment Management Compliance Officer
Our client, an internationally recognized investment management firm, is seeking a number of compliance professional at a range of seniorities for a long term project surrounding the creation, implementation and testing of a compliance framework. Candidate will require in depth knowledge of some or ideally all of the following:Investment or asset management business practices and formulation of compliance programsERISA RegulationCurrent and upcoming SEC regulation and practicesCompliance Testing including the Advisers Act of 1940 and 1940 ActGIPS requirementsRule 206(4)-7SEC inspections and examination Read more […]
Compliance Analyst
Two things really stand out about this opportunity. Firstly the firm is a well established international re-insurance broker with market leading positions in several niche and specialist sectors. It is big enough to have presence, financial stability and growth but small enough to mean that every emplyee is known and really counts. Secondly, the role is perfect for someone ambitious who wants to really interact with the business, grow their compliance skills and strengthen expertise on lots of levels. The firm has a culture that respects and values compliance and the role would suit someone Read more […]
Director, Compliance Monitoring and Testing
DescriptionThe Director, Compliance Monitoring and Testing will be responsible for overseeing all ongoing activities related to the development, implementation and maintenance of the compliance testing program. This person will report directly to the Deputy Chief Compliance Officer. The Director, Compliance Monitoring and Testing will also: • Develop and execute a global testing program designed to evaluate the effectiveness of key compliance controls through routine and/or ad hoc testing to ensure compliance with regulatory requirements and policies and procedures. • Develop and Read more […]
Assistant Manager, Operational Risk & Compliance
As part of Compliance team, role will be to manage bank’s operational risk through reviewing and implementing compliance policies, procedures, guidelines and instructions, covering AML, KYC, transaction monitoring, information security and anti-terrorist financing. Also assist with Business Continuity Planning. Candidates will currently be in Singapore, have at least five years relevant experience and currently working or have worked in offshore, corporate or investment banking. Strong SFA / FAA and knowledge of MAS regulations required. Degree qualified. Competitive package on offer Read more […]
Compliance Advisory Manager
We are looking for an experienced and qualified compliance professional to supplement the existing team, and to support and assist the business unit in fulfilling regulatory compliance obligations. The candidate should have demonstrable experience in providing compliance support for the sale of OTC financial products to clients, including Mid-Market, SME and retail client clients.Key skills and responsibilities;Provide day-to-day BAU advisory support and assistance, including reviewing new products and initiativesHands-on, proactive and timely advice on regulatory rules/requirements to business Read more […]
Compliance Monitoring
The candidate will have: 3+ years financial services experience Detailed knowledge of relevant legislation and rules (FCA, CCA, BC) An understanding of general Private and Investment banking terms, and Capital Markets products. Please apply to Ben, contactable on 0203 589 9275 or at Benjamin.harrison@jcwresourcing.com Please note that JCW Search is operating as an employment agency for the purposes of this vacancy.
Compliance Accountant
On the 9th April 2013 Pets at Home announced the acquisition of joint venture veterinary business, Vets4Pets. Following this acquisition Pets at Home will integrate Vets4Pets’ 94 stand-alone veterinary practices with its existing 116 in-store joint venture vet business, Companion Care Vets. Due to this transition and the growth of our business there now exists the opportunity for a Compliance Accountant. For more information on the team and transition, please visit www.hays.co.uk/jobs/companioncare. Reporting into the Compliance and Controls Manager the Compliance Accountant will be responsible Read more […]
OTC Compliance Advisory
I am recruiting a role for a Senior Compliance Advisory Officer in a large well respected bank. The candidate should have investment banking compliance advisory experience and understanding of the appropriate products (OTC). Key responsibilities are;To act as a guardian for the banks regulatory, ethical conduct and reputation and escalate any matters appropriately.Knowledge of the regulatory environment and its affects on OTC products and sales.Remain up-to-date with any new regulatory and business developments.Provide day to day BAU advisory support to the buisness.Provide advice and challenge Read more […]
Compliance Officer
One of the worlds largest banks globally is progressively growing out their London presence and once more expanding their compliance team. They are looking to add one further headcount to a small but growing team to assist with the management of regulatory risk.You will be responsible for “horizon watching” of the new regulations and monitoring the regulatory landscape ready to relay back to the bank and its subsidiaries your reviews on the regulatory developments and changes that it’s required to make.Within this vein you will provide management information to the Head of Compliance Read more […]
Compliance Analyst,Officer
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 […]