Compliance Advisory Officer / Private Wealth Management recruitment
Our client, a leading private wealth management firm is looking for a Compliance Advisory Officer to provide advice, guidance and support to the front office in all aspects of their private banking business. The individual would help to develop and maintain regulatory standards to enhance and protect the reputation of the firm.Duties Include: • Provide regulatory and transactional guidance and advice to the front office. • Liaise with and provide guidance to Senior Management • Keep Senior Management informed of regulatory changes and assess the impact on relevant business activities Read more […]
Compliance Advisory Officer – Private Banking recruitment
Our client, a leading global private bank is looking for a Compliance Advisory Officer to provide advice, guidance and support to the front office in all aspects of their private banking business. The individual would help to develop and maintain regulatory standards to enhance and protect the reputation of the firm.Duties Include: • Provide regulatory and transactional guidance and advice to the front office. • Liaise with and provide guidance to Senior Management • Keep Senior Management informed of regulatory changes and assess the impact on relevant business activities • Assist Read more […]
Compliance Advisory Officer – Equities recruitment
Our client, an international financial institution is looking for a compliance advisory officer to join their compliance department and work with the business and other departments to mitigate regulatory risks and facilitate the compliance culture.Duties Include: • Support Senior Management to ensure the business meets its regulatory requirements • Provide guidance, advice and interpretation regarding compliance issues to the business • Participate in meetings with the business to provide compliance advice on various issues. • Assist in ensuring that effective monitoring and control Read more […]
Compliance Advisory Officer / Fixed Income recruitment
Our client, a Global Financial Institution is looking for a compliance advisory officer to provide support and guidance to their fixed income business. The individual would help support the compliance function in identifying and mitigating risks across the fixed income business and help promote a proactive compliance culture within the firm.Duties Include: • Promote effective compliance and oversight with legislation in relation to their fixed income business • Providing regulatory and transactional guidance and advice to the front office • Provide interpretation of relevant rules, Read more […]
Compliance Advisory Officer / Fixed Income
Our client, a Global Financial Institution is looking for a compliance advisory officer to provide support and guidance to their fixed income business. The individual would help support the compliance function in identifying and mitigating risks across the fixed income business and help promote a proactive compliance culture within the firm.Duties Include:• Promote effective compliance and oversight with legislation in relation to their fixed income business• Providing regulatory and transactional guidance and advice to the front office• Provide interpretation of relevant rules, regulations, Read more […]
Compliance Advisory Officer / Equities recruitment
Our client, a global financial institution is looking for a senior compliance professional to provide advice, guidance and support to their Equities business. Performing a broad range of compliance duties as well as getting involved in ad hoc projectsDuties Include: • Advise and support all aspects of Equities businesses with specific responsibility for the Equity Derivatives business. • Ensure that the business is conducted in accordance with all applicable laws, rules, regulations and codes of practice. • Provide cross desk compliance coverage when needed across the Equities business. Read more […]