Portfolio Monitoring /Compliance Specialist recruitment
Prestigious investment management house seeks a highly experienced Compliance Manager to manage asset management regulatory requirements, undertaking portfolio monitoring, trading and capital markets oversight. Responsibilities will include the continuous review of policies, procedures and systems to ensure compliance with internal and external regulation, mitigation of financial and reputational risk and leading training and development initiatives and projects across a range of business areas.The role requires superior communication, relationship management and influencing skills and previous Read more […]
Compliance Specialist recruitment
Investment Placement Group (IPG) is searching for an experienced compliance/ risk management professional who can evolve to increasing levels of responsibility in the RIA/ Asset Management side of our business. The position is based in San Diego, California and will report to the Chief Compliance Officer.Responsibilities: The ideal candidate will be responsible for the following:Supervise activities of financial representatives regarding laws/regulations/company policies related to the day to day business of a FINRA registered Broker Dealer and SEC Registered Investment Adviser.Conduct Read more […]
Compliance Specialist recruitment
Job Description:The Compliance Specialist is responsible for assisting in the maintenance of the firm’s compliance policies and procedures and monitoring the activities of the firm for compliance with various rules and regulations of the SEC, CFTC, exchanges and other entities. The Compliance Specialist reports to the Chief Compliance Officer (“CCO”). Qualifications:• Assist the CCO with the development, implementation and maintenance of the firm’s written supervisory and compliance manual to ensure Spot’s practices remain observant to all current federal laws and exchange rules and Read more […]
Compliance Specialist recruitment
Compliance OfficerThe Company Our client is a leading financial institution based in Dublin.The Challenge The role will be responsible for the compliance function of two investment intermediaries authorised by the Central Bank of Ireland operating in the wealth management and fund management sectors.Responsibilities of the Compliance Officer will include:• Overall responsibility for the regulatory and compliance function of both firms.• To fully implement and review all MiFID and other legislative requirements.• Act as the Compliance Officer, MLRO and Risk Manager.• Main point of Read more […]
Compliance Specialist recruitment
Niemann Capital Management, Inc. is a rapidly growing, dynamic RIA firm where every individual makes a valuable contribution to the Company’s success. We pride ourselves on delivering the highest level of service in the Financial Services industry.We offer competitive salaries, employer-sponsored benefits for employees and dependents, 401(k), tuition reimbursement, casual dress and bonus/incentive programs.About the OpportunityWe’re looking for individuals who are interested in long-range career growth and have the strategic ability to plan for their professional futures. We offer a unique culture Read more […]