Compliance Associate recruitment
Vanguard, one of the world’s largest investment management companies and a recognized employer of choice, seeks a compliance associate to collect and analyze data for the compliance testing and analysis functions for defined contribution compliance clients. You will communicate with external and internal clients at the appropriate levels to perform compliance related tasks. You will also develop and maintain technical regulatory knowledge required to perform the above functionsYour primary duties and responsibilities:Collects data from internal and external sources. Analyzes and loads data into Read more […]
Compliance Associate recruitment
Compliance Associate – Provide support to the business on regulatory compliance matters, raising issues to Senior Management and implementing corrective action plans, in particular to brokerage and investment banking businesses; -Participate in new product development and ensure that new product conform to regulatory and internal compliance policies; -Monitor new account opening procedure KYC review; -Perform Control Room function in relation to investment banking and research businesses; -Review policies and procedures prepared by other departments and provide Read more […]
COMPLIANCE ASSOCIATE recruitment
BNPP IP offers a diverse range of investment management strategies to institutional clients in the U.S. Our clients include corporations, pension plans, insurance companies, foundations, endowments, central banks, official institutions and mutual fund advisors. In the U.S. we have offices in Boston, Chicago, New Jersey and New York. We have an excellent career opportunity for a Compliance Associate with Finance or Accounting experience in our New York City office. This individual will be responsible for assisting the Chief Compliance Officer (“CCO”) in various regulatory compliance and operational Read more […]
Compliance Associate recruitment
The first fund was launched in 2000 and has gained an impressive track record since, having won various Eurohedge awards. BlueCrest now has approximately 400 people across offices in Guernsey, London, New York, Boston, Geneva and Singapore.We are looking for an individual to work closely with the Head of Compliance and the senior manager for compliance monitoring on the below:• Daily monitoring of long and short position disclosures for global jurisdictions; • Working closely with IT on automation projects for daily monitoring; • Monitoring short selling rule developments; • Alpha capture Read more […]
Compliance Associate recruitment
Position Responsibilities • Assist in the maintenance of restricted and watch lists;• Assist in tracking/documenting compliance projects, compliance affirmations, reviews, and deadlines;• Assist in the review and production of compliance policies and procedures ensuring that regulatory policies are kept up to date;• Work closely with various teams within the firm to provide analysis and resolution on compliance related matters;• Assist in reviewing personal trading of employees and related accounts – pre-clearance, evaluate trade blotter versus personal trades, and keep files of Read more […]
Compliance Associate recruitment
Top Tier Global Fund ManagerCompliance Monitoring, Reporting and Policy DevelopmentAttractive Remuneration PackageThe Vanguard Group has grown into one of the world’s largest and most respected investment management companies with offices in the US, Europe and Asia Pacific. Vanguard Investments Australia Ltd is one of Australia’s highest profile fund managers and now manages more than $60 billion on behalf of retail and institutional clients and is well positioned to continue to grow its presence in the region. Vanguard is known for its strong culture and is committed to maintaining a team Read more […]
Compliance Associate recruitment
The purpose of the role is to assist the Atlantis Chief Legal Officer in carrying out a wide range of compliance duties in the various jurisdictions in which Atlantis operates. The work is varied, interesting and highly international in character. The position is likely to suit an existing compliance professional, or alternatively a newly qualified solicitor with an interest in regulatory work.Skills and experience requiredgraduate of a reputable university;intellectual rigour;1 to 2 years experience providing advice on financial services regulation, ideally with some experience of regulation Read more […]