Compliance Officer – Derivatives recruitment
A highly regarded investment bank are seeking a compliance officer for their commodities and derivatives business, focusing heavily on front office sales and trading. They are a top performing bank within these markets with an experienced compliance team.Typical duties will include Anticipating, assessing and responding to policy and legislative developments within EU US derivative markets by ensuring the firm meets its regulatory requirements Advising the front office on regulatory directives and exchange requirements and responding to ad-hoc queries and issues. Monitoring and surveillance Read more […]
Compliance Officer – Generalist recruitment
Key Objectives of the Role: • Management, advice and development of regulatory controls for regulatory projects new services • Development and maintenance of regulatory training programs • Regulatory Support for intermediary client relationships• Assistance in the development and execution of the compliance monitoring programResponsibilities: • Provision of Compliance advice on all aspects of the business • Managing and developing new or enhanced regulatory controls for all regulatory initiatives, service solutions and products • Managing regulatory audits, reviews and projects• Responsible Read more […]
Compliance Officer – Advisory recruitment
The Role Advising the Board and Senior Management of regulatory change and developments Establish and maintain a new system which tracks emerging regulations and activity Responsible for coordinating investigations, assessments and reporting to the FSA accordingly Establish and maintain the central compliance manual Provide compliance training across the business. Advising on policies and procedures £40k-£50k basic salary – Excellent benefits and bonus Requirements At least 2-3 years compliance experience occupied in an Investment Management, Wealth management or Investment Platform Read more […]
Compliance Officer – Wealth Management – 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 […]
Compliance Officer – Derivatives recruitment
A city commdity trading firm require a compliance officer to join their london team. This is an exciting opportunity for an individual looking for a ‘step up’ into an automous role with a cutting edge business. This will be a varied role however duties will typically entail,• Advising senior management of compliance requirements, regulatory changes and required corrective action. Analyze existing and proposed business initiatives to determine appropriate authorizations and regulatory requirements. • Acting as the focal point for regulators, attending industry fora, working groups and meetings. Read more […]
Compliance Officer – VP – Derivatives recruitment
A leading Investment Bank are seeking a compliance advisor for their derivatives business. This is a highly coveted and prestigious organisation that takes on the best in the business and make them better.The role will primarily be covering their listed derivative business, however you will be working closely with your OTC counterparts. Typical; duties will include.• The provision of regulatory advice to business areas engaged in derivative markets• The design and implementation of a compliance programme for listed derivative business.• Managing the teams relationships with member Read more […]
Compliance officer, expert in setting up new procedures! recruitment
Due to an expansion of their activities, they are looking for a compliance officer who has experience in setting up of new procedures including data protection and risk prevention.You will be the point of contact for all compliance matters for all the departments of the company.Your profile:- Master degree in tax, law or economy- Fluent in English and French- 3 years professional experience in a compliance role- Experience in implementation of compliance company policy- Well-organized, good communication skillsIf you think that this opportunity fits your expectations for a new step in your career, Read more […]
Compliance Officer – Fixed Income, Currency and Commodities recruitment
FIXED INCOME, CURRENCIES COMMODITIES GROUPThe Fixed Income, Currencies and Commodities Group (FICC) is involved in a broad range of financial markets trading activities. Its services range from 24-hour trading in most currencies and commodities to acquiring assets, (either companies, physical trading assets or derivative portfolios). In the EMEA region, FICC’s major business activities are: Commodities (base and precious metals, oil, gas, power, coal, agricultural commodities, freight and environmental products), Futures (listed derivatives) execution and clearing, emerging markets (Bonds, Repos, Read more […]
Compliance Officer – Insurance recruitment
Working as a Compliance Specialist, your role will be to provide day to day compliance support to the business and to assist the Compliance Manager in ensuring the business complies with all regulatory requirements. The Company is a renowned Insurance and Reinsurance specialist with both General Insurance and Lloyd’s market products, giving and excellent opportunity to broaden your experience. You will be responsible for: Supporting the Compliance Manager is assessing and implementing regulatory requirements.Ensuring systems and controls are in place to remain compliant with regulators.Actively Read more […]
Compliance Officer, WM – Special Markets and Controls recruitment
The Wealth Management (WM) Compliance Department works as a team to advise and control the business’ activities in relation to compliance with all applicable laws, regulations and policies including the Banking Act, FAA, SFA, Cross Border Activities, Investment Suitability, US Persons compliance and Conflicts of Interests. The SG WM Compliance Control Team (“Controls Team”) works in close cooperation with other Compliance teams, including AML Compliance, Central Compliance, Compliance Risk Assessment and Review team, WM Compliance Hong Kong (HK), WM Legal Singapore. In addition, the Controls Team Read more […]