Vice President, Compliance Officer – Equities, Global Risk recruitment
OverviewBank of America is one of the world’s largest financial institutions, serving individual consumers, small and middle market businesses and large corporations with a full range of banking, investing, asset management and other financial and risk-management products and services. The company provides unmatched convenience in the United States, serving more than 59 million consumer and small business relationships with more than 6,100 retail banking offices, nearly 18,700 ATMs and award-winning online banking with nearly 29 million active users. Following the acquisition of Merrill Lynch on Read more […]
Compliance Officer – Private Wealth Management recruitment
Job Description Providing advice and support to business projects and issues requiring compliance inputManaging compliance-led projectsProviding review and sign-off of marketing materials prepared for distribution to clients / prospectsReviewing and approving client account and trade activity from an Anti-money laundering and a suitability perspectiveProviding support for / responding to general compliance-related queriesDevelopment and implementation of compliance-related policies and proceduresImpact analysis and implementation of regulatory changes affecting the PWM businessTrade Read more […]
Compliance Officer – Possible CCO recruitment
The Compliance Officer will provide real time trading advice and support to the firm’s proprietary trading desk(s) in both listed and Nasdaq securities. The ideal candidate will insure regulatory requirements are evaluated, addressed, and observed in strict compliance with SEC, FINRA, and CBOE regulatory bodies. The Compliance Officer will be required to interpret and communicate new rule changes that will impact the firm and provide guidance in adhering to rule guidelines. Requirements will include amending/updating the firms Written Supervisory Procedure’s (WSP’s) as necessary to conform Read more […]
Compliance Officer – Investment Management recruitment
Compliance Officer, Investment Management THE ROLE Our client, a boutique investment management company, is seeking to appoint a Compliance Officer. The company is an independent fund management partnership managing about £5 billion. The partnership structure (with no external shareholders) ensures the investment team is stable and makes it easier for the team to take a consistent longer-term investment perspective. The company is authorised and regulated by the Financial Services Authority. Funds are managed for institutional clients which include Pension Funds, Collective Investment Schemes, Read more […]
Compliance Officer/ Senior Compliance Officer
The Company Swiss private bank and asset management company with international presence. The Role You will be responsible for: drafting and implementing compliance policies and procedures in accordance with HK legal and regulatory requirements. conducting KYC and AML transaction monitoring in respect of private banking clients managing licence applications to SFC and/or HKMA. setting up and monitoring investment suitability framework for private banking clients performing compliance checking and review / monitor investment restrictions in respect of funds under management Read more […]
Compliance Officer
Compliance Officer – £60,000 + bonus – very professional private equity London based company. London based privately owned investment management and corporate finance organisation is looking for a Compliance Officer MLRO to carry the CF10 CF11 regulated functions. It’s a ‘Big Job’ you will be required to be ‘Hands On’ duties will include:-• Be approved by the FSA for CF11 (MLRO) and CF10 (Compliance Officer)• Operate within agreed authority levels, as determined by the Board.• Report directly to the Managing Partners/Board.• Primary point of contact with the FSA and HMRC.• Provide Read more […]
Compliance Officer – FICC Compliance Team
The role is in the EMEA FICC Compliance Team providing primary Compliance support to the following business areas:• Commodities• Delta• Foundation Client Group• Cross Asset SalesAdditional Compliance support would be required for the other business areas:• Emerging Markets• Global Family Office• IPS Capital Markets• E-Commerce• Matched Principal Trading• QuantsCompliance Support will require the following:Advice on transactions, new business initiatives and other Compliance issues to the above business areas as required ensuring that business and product development activities Read more […]
Compliance Officer / Fixed Income recruitment
Our client, a Global Financial Institution is looking for an assistant compliance manager 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: • Assist in providing regulatory and transactional guidance and advice to the front office • Provide interpretation of relevant rules, regulations, policies and procedures to senior management and front office. • Demonstrate sound Read more […]
Compliance Officer, Standard & Poor’s recruitment
Compliance Officer, Examinations Standard Poor’s Segment Operations is seeking a Compliance Officer to conduct examinations. The compliance officer will be responsible for planning and executing compliance examinations of SP operating units, globally, to assess compliance with US and international regulations and compliance policies and procedures. Minimal travel will be required, but could include international travel. Essential Accountabilities include but are not limited to the following: – Plan and conduct on-site compliance reviews, determining the appropriate mix of process-oriented compliance Read more […]
Compliance Officer – Private Banking recruitment
Our client, a leading wealth management firm with global operations, are currently seeking to recruit an additional compliance officer to join their established team. The team provide compliance advice to the global activities of the firm in relation to the development, management and marketing of its product range, as well as developing compliance policies and providing technical compliance advice to the wider business. Broadly speaking, responsibilities will include the provision of technical advice and governance, regulatory risk and control, training, and playing a key role in liaising with Read more […]