Compliance Advisor recruitment
About Our Client This market leading Financial Services business see technical excellence as a key differentiator, therefore this is a key hire.Job DescriptionManage breach investigations / reporting processesTo Drive the promotion of high quality standards in relations to operational compliance across the businessProcess improvementsProviding the business units with compliance adviceManage investigations, analysis and recitation of potential breaches including management reporting and regulatory responsesBuilding relationships with relevant stake holdersThe Successful ApplicantThe successful applicant Read more […]
Compliance Advisor recruitment
Principales missions :En tant que Compliance Advisor au sein du pôle “Distribution Ethics” du Département Compliance de Paris, le candidat assurera les fonctions suivantes :-Contrôler la bonne application par les collaborateurs du Code de Conduite et des Global Standards édictés par le Groupe (détermination des collaborateurs sensibles, autorisation des transactions personnelles, contrôle des portefeuilles titres, exercice de fonctions externes, cadeaux et libéralités …) -Suivre et mettre à jour le Code de Déontologie d’AXA IM Paris -Mettre en œuvre à cette fin le Compliance Read more […]
Compliance Advisor recruitment
This is an excellent opportunity for an enthusiastic Compliance Professional, who is comfortable working as part of a small team, to ensure that ongoing regulatory and legislative changes are fully applied to the business, as well as providing ongoing regulatory and compliance training to new joiners, coupled with refreshers for existing staff to reflect updating regulatory changes. You will also take on the drafting and reviewing of policies and procedures and therefore a proven working knowledge of FSA rules pertaining to retail banking will be a pre-requisite. The Successful Candidate will Read more […]
COMPLIANCE ADVISOR* recruitment
Notre client est une société de gestion d’actifs de renom.Au sein d’une équipe en charge d’affaires réglementaires globales, dans un environnement international, le/la candidat(e) participera à la gestion des activités de notifications réglementaires associées aux franchissements de seuils de participation.Ses fonctions principales seront les suivantes :- L’identification des franchissements de seuils de participation de l’ensemble du Groupe dans les sociétés cotées en Europe ;- Les notifications de franchissements de seuils conformément aux lois applicables dans les différents pays Read more […]
Compliance Advisor recruitment
Respond to alleged violations of laws, rules, regulations, policies, procedures and the Code of Conduct by evaluating or recommending the initiation of investigative procedures. Collaborates with other internal functions (e.g. Internal Audit, Corporate Legal Counsel), or external parties as appropriate and/or required, to investigate and resolve compliance issues
Compliance Advisor recruitment
A leading investment specialist firm, who offer investment solutions, and funding options for a wide range of exceptional companies, is looking for a Compliance Advisor to join the Compliance Department. This successful, dynamic and driven firm is nationally recognised and this exciting opportunity, providing advice to the business, presents the perfect opportunity to further your career within a true industry leader.Your responsibilities will be:• Advising compliance issues relating to the launch of new products.• Advising clearly, reliably and consistently on any compliance issues arising Read more […]