Compliance Officer – Monitoring and Testing recruitment
Design, execute and report specific end to end reviews on specified EMEA Wealth Management processes. Assist with routine compliance monitoring and testing. Contribute to ongoing enhancements of the monitoring and testing processes. Support the compliance team with ad hoc review requirements as they arise. Ability to elicit information through questioning and observation as well as from documentation;Design of efficient and effective testing programmes including quick identification of key controlsCan work on own initiativeConfident and decisiveExcellent verbal communicatorGood written reports Read more […]
Compliance Officer – CF10/11 recruitment
Leading Private Equity firms seeks an accomplished senior Compliance professional for a new appointment. With impressive growth over the last few years and a highly charismatic and entrepreneurial management team, this firm is looking to appoint their first full time Compliance Officer with CF10/11 status. The successful candidate will have experience in dealing with compliance issues in a regulated environment, including at initial investment stage and from an on-going operational perspective. Key responsibilities will cover all monitoring and highlighting of compliance issues across the funds Read more […]
Compliance Officer – Commodities recruitment
The successful candidate will have primary responsibility for providing compliance advisory coverage to the commodities business, as well as playing a key role in surveillance, monitoring and testing, policies and procedures, new business initiatives, internal reporting and relations, and training. Candidates should have proven experience in fixed income compliance, with experience of working with a diverse portfolio of commodities. Please note our advertisements use PQE/salary levels purely as a guide. However we are happy to consider applications from all candidates who are able to demonstrate Read more […]
Compliance Officer – Life Insurance recruitment
This global Life and Pensions firm are seeking a Compliance Officer to join their existing UK focused branch team.Reporting into the Head of Compliance this is a highly autonomous and varied Compliance role. You will play a key role in ensuring the business are updated in regards to changes or developments in the regulatory landscape. This will include ensuring all policies, procedures and manuals are updated accordingly and that these changes are effectively and efficiently embedded. You will also be responsible for the provision of compliance and regulatory advice to the business. You will hold Read more […]
Compliance Officer, Bahrain recruitment
The ideal candidate has to travel frequently within the Gulf region and is responsible for the bank’s compliance with all applicable laws and regulations in the Kingdom of Bahrain and in the other relevant GCC countries.Responsibilities:Assist with documentation and related matters with government agencies.Support compliance requirements, processes and procedures within multiple GCC jurisdictions.Draft or review Non-Disclosure Agreements, Engagement Letters with vendors, Employment Letters and Termination Letters.Provide legal support in relation to executive compensation programmes and follow Read more […]
Compliance Officer – Life Insurance recruitment
Our client is offering an opportunity to join a globally renowned life insurance company who are continuing to build and grow their UK brand. They require an experienced compliance specialist with a background in life and pensions to take control of the Wealth Management arm with a large degree of autonomy. The role offers the individual with expertise in insurance, within the life and pensions sector, the exposure across the breath of the business. This broad exposure enables the development of expertise in a rapidly expanding organisation and brand, with significant opportunity to add value with Read more […]
Compliance Officer, Equities Compliance recruitment
The Business UBS operates one of the leading global equity businesses with its European operations focused in London. The business encompasses domestic and international equity and equity-related sales, trading and research and exchange traded and OTC derivatives.The RoleA position has arisen for an experienced Compliance Officer to work within the EMEA Equities Compliance team. The role, which will be based in a trading environment, involves the provision of advisory, education and monitoring services to European Equities, which spans cash sales and trading, exchange traded derivatives, prime Read more […]
Compliance Officer – Capital Markets Advisory recruitment
Global banking organisation is looking for a Compliance Officer for their Markets Advisory team.The role will support cross product teams along with being involved with/manage projects for the business.Duties include but not limited to:Support primary contact for nominated business areas in the main comprising Corporates Markets businessUndertake or assist with ad hoc project work, providing analysis and making recommendations, as required or directed.Assist other members of the Compliance Department in carrying out project work and to deal with day to day queries as required.Be aware of local Read more […]
Compliance Officer – Proprietary Trading recruitment
This senior role requires particularly solid experience of FSA and U.S. regulations on securities trading. You’ll provide an important compliance nexus and interface with trading, operations, the overseas based compliance main office and have the ability to manage regulatory relationships and develop policy as well as support the different business areas with real time advice on trading issues.
Compliance Officer – Retail Lending recruitment
The focus of the role will be to provide accurate and solid commercial advice on all compliance operational matters that affect the retail lending business, particularly FSA OFT regulations and ensuring adherence to lending regulations, specifically MCOB Consumer Credit Act.Further duties will include, but are not limited to:• Taking responsibility for the designing, building and monitoring of operational controls regarding CCA and MCOB• Establishing a compliant operational framework• Drafting operational governance documents, scorecards and procedures• Planning and designing appropriate Read more […]