Asset Management – Compliance Officer / Manager recruitment
My client provides wealth management advice and services to private clients and family offices and are looking to recruit a Compliance Officer. My client believe that in order to build successful long-term relationships with our clients, it is essential that we first take the time to listen carefully and attentively to their expectations, requirements and concerns. This may include tax considerations, investment time horizon and risk tolerance, as well as other important elements such as income needs, preferred investment strategies or many other factors. My client offer proprietary strategic Read more […]
London – Compliance Officer – Wealth Management – Asset Management recruitment
My client provides wealth management advice and services to private clients and family offices and are looking to recruit a Compliance Officer. My client believe that in order to build successful long-term relationships with our clients, it is essential that we first take the time to listen carefully and attentively to their expectations, requirements and concerns. This may include tax considerations, investment time horizon and risk tolerance, as well as other important elements such as income needs, preferred investment strategies or many other factors. My client offer proprietary strategic Read more […]
Compliance Officer – Lloyd’s of London recruitment
This top UK Lloyd’s of London Insurer are seeking a Compliance professional to join their existing Compliance function.You will be a key member of a small team which covers Compliance and Regulatory requirements across the Lloyd’s and European Company market company. You will ensure policies, procedures and business standards relating to Compliance and Regulatory conduct are effective and compliant with the changing regulatory environment. You will provide advice, guidance and training to the business in regards to regulatory requirements and internal policies. The identifying of upcoming Compliance Read more […]
City of London – Compliance Officer – Wealth Management – Asset Management recruitment
My client provides wealth management advice and services to private clients and family offices and are looking to recruit a Compliance Officer. My client believe that in order to build successful long-term relationships with our clients, it is essential that we first take the time to listen carefully and attentively to their expectations, requirements and concerns. This may include tax considerations, investment time horizon and risk tolerance, as well as other important elements such as income needs, preferred investment strategies or many other factors. My client offer proprietary strategic Read more […]
Compliance Officer – Superannuation – $100k + bonus recruitment
The role will involve providing advice and guideance to the business in order to satisfy all external and internal regulatory obligations.Along with BAU Compliance responsibilities the role will also include assisting with building the compliance framework encompassing external regulatory compliance, specific superannuation legislation and an effective AML/CTF programme. Duties will entail – To consider the implications of client contractual, legislative and regulatory requirements on the operations of the superannuation business and undertake compliance monitoring procedures as necessary in the Read more […]
Compliance Officer, Investment Funds recruitment
The candidate will be a member of the Investment Bank Australia Compliance team reporting to the Head of Compliance. The candidate’s role will be to manage the compliance program for the Investment Funds business which is being established to enable offers of structured products to investors in a fund format. As the senior compliance officer, the candidate will be primarily responsible for the day to day operation of the compliance program and to act as delegate for the Head of Compliance where necessary. Responsibilities • Developing, implementing and maintaining the compliance framework, Read more […]
Compliance Officer – Wealth Management recruitment
83801BRIn order to strengthen our team of 14 compliance officers, responsible for the Wealth Management Swiss Bank, we are looking for a new colleague for the role ofCompliance OfficerIn this role you are responsible for ensuring compliance with the current legal and regulatory standards. These responsibilities include advising management as well as client advisers, identifying and analyzing unusual business relationships as well as carrying out risk assessments. Further responsibilities include the training of client advisers and participating in project groups.In this role, at the largest booking Read more […]
Compliance Officer – Markets / Investment Banking recruitment
Our client, a global financial institution is looking for a compliance officer to join their Markets Compliance department. The individual would assist in the provision of guidance, advice and support to Senior Management and the business in identifying and mitigating regulatory risk as well as promoting a proactive compliance culture within the firm.Duties Include: • Assist in the provision of proactive regulatory advice to the business and other support functions. • Assist manage the successful delivery of compliance projects ensuring technical excellence and a business driven approach Read more […]
Compliance Officer / Deputy MLRO – Corporate / Retail Banking Payments recruitment
This is an opportunity to work with the Global Head of Regulation and Compliance / MLRO to ensure compliance and corporate governance standards are met.This role will operate as the Global Head of Compliance’s most senior report and will deputise for him day to day, be expected to operate with a high degree of autonomy on the most complex and demanding Compliance projects and activities. Key responsibilities will include: Facilitating the client ‘take on’ process, particularly in the collection and analysis of due diligence material for the client verification process (i.e Read more […]
Banking – Compliance Officer / Manager – City of London recruitment
My client provides wealth management advice and services to private clients and family offices and are looking to recruit a Compliance Officer. My client believe that in order to build successful long-term relationships with our clients, it is essential that we first take the time to listen carefully and attentively to their expectations, requirements and concerns. This may include tax considerations, investment time horizon and risk tolerance, as well as other important elements such as income needs, preferred investment strategies or many other factors. My client offer proprietary strategic Read more […]