Compliance Advisor – RepoClear recruitment
OverviewLead the advisory relationship with the Fixed Income business providing analysis and advice to the business, in particular with respect to the regulatory requirements for clearing, and EMIR. The candidate will join a dynamic team of compliance professionals responsible for providing advisory support and general Compliance oversight to the fixed income business. The Compliance and Public Affairs Group works closely with other internal and external stakeholders, serving as a valuable partner ensuring an ability to comply with, influence and respond to increasingly complex international regulation, Read more […]
Compliance Advisor – Investment Management and Investment Advisors recruitment
Our Client, a globally recognised professional services organisation, is seeking a talented compliance manager to assist it’s investment advisors arm on an interim basis, though the initial contract length will be 3 months extensions are highlyy likely. The successful candidate will be responsible for advising Investment advisors on their regulatory obligations as listed belowResponsibilities will include:Existing Compliance Program TestingDeficiency Assessment and Gap AnalysisExamination SupportCompliance Program Development ImplementationSEC and State Registration ProcessingCompliance Program Read more […]
Compliance Advisor – Energy Trading recruitment
A global energy giant currently has a vacancy at present within their compliance department in London. Due to recent growth they now require an additional compliance advisor to their trading division. This is an internationally respected brand that is renowned for providing effective training and maintaining a strong compliance culture.As a compliance advisor to the business your duties will include but not be limited to -•Providing advice on compliance and regulatory matters in support the business’ trading activities, and to provide assurance to senior management that the requirements of Read more […]
Compliance Advisor – Sales and Trading recruitment
ResponsibilitiesProvide day-to-day advisory service to Cash sales and trading, Emerging Markets, Program Trading and the Derivatives businesses on their various requestsDevelop policies and proceduresProvide support to the rest of the compliance team both regionally and globally on various project initiatives that are underway or in planning from both a compliance perspective as well as those initiated by the businessAssist in ensuring that all relevant policies and procedures are employed in the relevant sales and trading businesses across the firmWork with the rest of the European securities Read more […]