Compliance Officer – Compliance Review / Control recruitment
This role will form part of a team of 5 local compliance officers who will be responsible for Compliance reviews in the UK. This is a AVP level hire and you will report to the Head of the Compliance Review team. Compliance reviews will include reviews within the Investment Bank, Private Bank, Asset Management and Shared Services. Specifically, this will include desk reviews, themed reviews and a number of other internal reviews of the Compliance department. Your main responsibilities will be to: • Manage and lead Compliance reviews cross divisionally. This will include: Read more […]
Compliance Officer – Global Hedge Fund – London recruitment
My client is a $12bn Hedge Fund with an impeccable reputation. They have grown substantially throughout the financial crisis and have benefited substantially from recent client inflows. This is a truly unique opportunity to join a growing fund well positioned to take a leading role in the global industry.Responsibilities:• Conducting systematic reviews of all relevant areas of the business to meet regulatory, compliance and business needs.• Designing and implementing additional reviews and assessments where changes in operating processes or regulatory requirements present new challenges.• Assisting Read more […]
Compliance Officer – AML – PEP recruitment
Credit Suisse is looking for an experienced AML Compliance Officer to join its teamThe RolePEPs Review potential PEPs from across the EMEA region; Update and maintain the EMEA PEP database; and Assist with AML projects, including the annual PEP reviews. AML and Anti-Corruption Analyse increased AML risk issues (e.g. sanctions and corruption); Conduct AML research into money laundering related issues; Advising on Bank Anti-Corruption matters including onboarding Finders and transactional isuses; Perform AML post-transaction monitoring; Review pre-transaction approvals, including potential reputational Read more […]
Compliance Officer – Securities recruitment
Compliance Officer – SecuritiesAn exceptional opportunity has arisen to join this well regarded global Securities firm as a Compliance Officer in Hong Kong.Our client has a strong presence in Asia and has been providing brokerage services in the region for over 15 years. Due to continued business expansion in Asia, they are now looking for a Compliance Officer to join this exciting team.In this role you will be responsible for all general compliance and risk management affairs including sanctions surveillance, licensing, trade surveillance, monitoring in Regulatory procedures, compliance review, Read more […]
Compliance Officer – Equities recruitment
Legal Compliance is a global team of dedicated professionals who are committed to providing timely, value added and innovative risk control and advisory services to support the business operations of UBS and to preserve and enhance the reputation of UBS as a leading financial services provider. As an Equity Compliance Officer for Singapore, you will report to the APAC Head of Compliance Singapore and primarily based in Singapore with other Compliance staff. You will provide compliance advice to the Equities business in Asia which includes the following business areas: Exchange Traded Derivatives Read more […]
Compliance Officer – Broker-Dealer – Private Placements recruitment
ResponsibilitiesOversee all private placement compliance mattersPrepare all necessary due dilligenceMonitor employee’s U-4’s which may include dual registrationsRequirements3+ years experience working in a compliance department of a firm whose products include private placementsStrong understanding of the due dilligence requirements for private placementsPossess clean U-4 with the following licences: Series 7, Series 24, Series 63Series 79 (a plus)If you qualify please send resume to rkramer@imsrecruiting.com Read more […]
Compliance Officer, Bahrain recruitment
The ideal candidate has to provide legal support in relation to general business activities in the Gulf region in order to ensure compliance with GCC rules, regulators, and supervisory requirements.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.Assist in the preparation of legal materials, memos, and other documentation in support of the investment Read more […]
Compliance Officer – Swiss Office – Zurich Based recruitment
My client is a top-tier Swiss bank currently looking for a high-calibre compliance specialist with 3-7 years experience. As a well established name, the client offers an excellent opportunity to join their expanding team. As a successful candidate you should have a focus on general compliance in private banking and be senior enough to be a sound decision-maker. The ability to speak both German and English is vital as well as a Swiss Law degree.This is an excellent opportunity to join an organization where you will be part of an entrepreneurial and idea driven team. You should be fully qualified Read more […]
Compliance Officer – Societe Generale recruitment
Main responsibilities Involvement in delivery of items in the annual Compliance Plan, which are relevant to the coverage of the team, in a timely manner. Participation in the identification and analysis of regulatory developments at both local and EU level, which will impact on business lines operating within SG London Branch, producing written analysis for further discussion across the Department, and involvement in the assessment whether the regulatory change has any impact on business line/Compliance policies and procedures, and the scope or approach to the compliance monitoring effort Read more […]
Compliance Officer – based in Zurich – SWITZERLAND recruitment
My client is a top-tier Swiss bank currently looking for a high-calibre compliance specialist with 3-7 years experience. As a well established name, the client offers an excellent opportunity to join their expanding team. As a successful candidate you should have a focus on general compliance in private banking and be senior enough to be a sound decision-maker. The ability to speak both German and English is vital as well as a Swiss Law degree.This is an excellent opportunity to join an organization where you will be part of an entrepreneurial and idea driven team. You should be fully qualified Read more […]