Search Results
Fixed Income Compliance Officer
Position Description 1. Job ObjectiveTo co-ordinate and assist the Firm as a whole in compliance with UK legislation including FCA rules and regulations and applicable EU and overseas legal and regulatory requirements.2. Job DimensionsThe Compliance Department is a service-oriented department which provides guidance and advice to all business and support staff at the Firm, including sales, trading, research, investment banking, capital markets, financial, administration and infrastructure staff.The Department provides general transactional guidance and advice to Business Units and other staff, Read more […]
Compliance Officer
The Role:· Overall responsibility for compliance issues in wealth management· Provision of regulatory advice across the business· Compliance contact for wealth advisers and portfolio managers.· Speak concisely, effectively and coherently to all internal clients and external contact· Policy review and amendment.· Working with product teams ensuring compliance· Staff training and presentation· Build effective working relationships at all levels in the organisation· Read more […]
Legal and Compliance Analyst
This is a business critical role and involves a close working relationship with the Board and CEO. You will implement and oversee the development of the Asian legal and compliance strategy. The company is one of the world’s most successful investment management firms and is well-known throughout Asia. Responsibilities:LegalImplementing the legal strategy in line with company objectivesDrafting contracts and other legal documentsPreparation of compliance documentation for statutory, legal and regulatory purposesExercising the highest standards of ethics and due care in safeguarding stakeholder Read more […]
Compliance Consultant [Wealth Management]
Role To act as the Compliance team’s main point of contact with the Wealth Management team and implement the risk-based compliance monitoring programme as it relates to wealth management and the handling of day to day wealth management queries, ensuring that customer service and fair treatment practices of the Group are at the forefront of investment activity. ResponsibilitiesTo advise on wealth management and regulatory issues and handle day to day queries across the Group. In particular, liaise closely with the Wealth Management team to:o advise on wealth management issues;o Read more […]
Compliance Associate
Primary responsibilities include reviewing and approving the firm’s marketing and promotional materials distributed to institutional and retail audiences and serving as a subject matter expert for sales and marketing staff throughout LAM. The Compliance Associate will work closely with our sales and marketing teams to ensure all materials meet applicable firm and regulatory standards. This position requires a working knowledge of applicable rules and regulations and industry standards. The Associate will also be involved in other general compliance activities of the Firm’s Legal / Compliance Read more […]
Compliance Manager
Key Duties:· Develops initiates, maintains, and revises compliance policies and procedures for all IT operational activities within the Compliance Program. Manages day-to-day compliance including: Violations Reporting, Violation monitoring, Appeals and Compliance Training activities.· Develops and periodically reviews and updates Standards to ensure continuing relevance in providing guidance to management and employees.· Collaborates with other departments to direct compliance issues to appropriate existing channels for investigation and resolution. Consults with the legal and/or Human resources Read more […]
Life and Pensions Compliance Analyst
This will include completion of file reviews of new high net worth client business prior to its release to the client, monitoring of systems against regulatory handbook requirements and operation, maintenance and development of a compliance monitoring programme alongside compliance peers operating in the wider business.The role will include creation and retention of records of regulatory compliance on behalf of the business to a standard that will satisfy external regulatory and legal bodies, and to take responsibility for review and first stage approval of the work of other members of the team. Read more […]
VP COO Compliance
The COO team provides proactive strategic, project management and operational support to the CIB Compliance Executive Committee (CExCo).The EMEA COO has both global and regional responsibilities for the CIB Compliance department, often working in close coordination with the other regional COOs. The role covers a broad range of global and regional business management activities including:Managing a team of three, providing support and oversight where necessary, whilst ensuring that they meet the high standards expected by senior managementProviding operational and ad-hoc support to the EMEA Head Read more […]
Head of Compliance
JCW are currently being retained to identify a Head Compliance on behalf of a mid-sized banking organisation with an international presence in the corporate banking and lending space. Managing a relatively sizeable team and reporting directly into the bank’s CEO, the eventual role holder will be ultimately responsible for all regulatory compliance efforts across the business, and will be FSA registered accordingly. Candidates must possess extensive regulatory compliance and financial crime experience developed in a relevant financial environment. Leadership is a key aspect of this position Read more […]
Senior Compliance Manager- CONTRACT
The role will be within the core compliance function and will require candidates with significant previous experience in a similar environment within Investment Banking Desirable Qualifications/Experience: Degree level qualification or equivalent A compliance Certificate/Diploma from ICA, Cergi, CII or similar For more information or to apply for this role, please contact Jasemin at jasemin.akcay@jcwresourcing.com or call on 02035 899 276