Compliance Consultant recruitment
A global custodian with offices in Canary Wharf is looking for a Compliance Consultant with a background in Custody Compliance.The team provides compliance oversight and advisory support for the UK Asset Servicing operations, working alongside business unit risk partners to ensure that compliance controls are embedded within the business.Due to the nature of this compliance position, you will be required to deliver a consultancy style service that will initially involve the analysis of regulatory developments, but will also include the following responsibilities:-Keeping up to date with existing/new Read more […]
Compliance Consultant recruitment
OpportunitySupporting the MG Retail Business this role is an excellent opportunity for someone to continue or start their career in the field of compliance within a leading asset management firm. Key responsibilitiesWorking within a team of three others, the key areas of responsibility will be: – Approval of financial promotions for the UK and continental Europe- Supporting marketing teams by delivering guidance, training, and advice where required- Ensuring that prospectuses, key investor information documents, key features documents, and fund reports are updated and compliant- Ensuring that changes Read more […]
COMPLIANCE CONSULTANT 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 temporary assignment for a Compliance Consultant in our New York office. Candidate will possess a strong technical background coupled with an investment compliance background. Specific Responsibilities:• Creation and modification of programmed Read more […]
Compliance Consultant recruitment
This role has the potential to be converted in to a full time CCO position. Responsibilities: Assist in developing and maintaining broker dealer and ATS compliance policies and procedures Monitor the Firm’s Continuing Education requirements and conduct annual compliance meetings and training as appropriate. Monitor and review the Firm’s electronic communications including email, Bloomberg chats, Instant Messages, etc. Maintain and enforce the Firm’s AML program and conduct OFAC, FINCEN and SAR reviews on a periodic basis. Maintain and coordinate all aspects of the Firm’s Business Continuity Read more […]