Compliance Officer, Email & Testing recruitment
Job ID: 10450Position Description: [Compliance Officer/Associate] [POSITION SUMMARY] The Compliance Officer/Associate is responsible for working with the Regulatory Compliance team to facilitate PIMCO’s Compliance Program. The candidate will be primarily responsible for supporting PIMCO’s Email Monitoring and Forensic Testing Programs The role would also require working on compliance initiatives as well as support efforts to streamline the business for efficiency, enhanced control environment, and mitigate potential risks. The candidate will work closely with teams and individuals across Read more […]
Compliance Officer
Our client is a growing Private Bank in the region with over 45 years private banking experience in various locations across the globe.As part of the Compliance function you will report directly to Head of Legal Compliance globally. You will be responsible for all compliance issues within the bank across Dubai and Abu Dhabi, including liaising with regulators. You will be an all round Compliance professional covering monitoring, policy and regulatory work and also provide training to employees on legal and regulatory requirements.Applicants will have a good level of exposure to Swiss FINMA and Read more […]
Compliance Officer
The Compliance Officer with Compass EMP Funds must have a strong knowledge of the Investment Advisor’s Act and a broad-based financial services or asset management background. The Compliance Officer will be responsible for policies, reviews, internal controls, legislative research and related projects for the RIA. Note: Compass EMP’s ’40 Act Funds currently have a CCO and are not contemplated in this Compliance Officer’s area of responsibility.Compass EMP Funds was founded in 1996 and is located in Brentwood Tennessee. The mutual funds were launched in 2009 and now possess over $400 million Read more […]
Compliance Officer
We at Manpower are currently recruiting on behalf of our client; a large financial blue chip company based in central London, for a Compliance Officer. The role would be helping out on completing compliance reports, some testing and monitoring, putting together training, plans and some training as well as general co-ordination. Esperience in financial services and consumer credit would be beneficial.
Compliance Officer/HR Specialist Job
Compliance Officer/HR SpecialistThis highly visible position, reporting directly to the President, is responsible for supporting operations to nine offices. Responsibilities include utilizing business analytical tools to ensure compliance with contract compliance and Company policies and procedures. Major responsibilities are:· Ensure quality control of certification documentation· Monitor and review utility regulations to ensure that Company is aware of new requirements and is operating within the law.· Conducts regular audits and coordinates Read more […]