Billing Administrator Associate
The Legal Compliance (LC) team oversees BlackRock’s global compliance with applicable laws and rules, and is responsible for, among other things, establishing legal and compliance policies and procedures that meet applicable regulatory requirements and testing the operative effectiveness of those policies and procedures; overseeing all regulatory matters; coordinating all litigation and legal proceedings; negotiating contracts; and providing compliance training. Role Specific Description We are searching for an LC Billing Administrator that will help support the global centralized legal Read more […]
VP
Newly created position to focus on the regulatory oversight of the daily client segregation calculation and analytical processes. Responsibilities include: Review of the daily client segregation operational output to ensure accuracy, timeliness and completion, liaise with Listed and OTC derivative operational leads. Perform quality control review over daily calculation processes performed in operations and prepare/coordinate meaningful analysis. Interpret and apply new client segregation CFTC/CME regulations as well as ensure compliance with existing rules and regulations. Review existing/ Read more […]
Trainee Fund Administrator
The Opportunity Due to continued growth, our client, a well established financial services firm, has a rare vacancy for a Trainee Fund Administrator at their London offices. In this role, you will be working as part of a close-knit team responsible for the basic compliance and day to day administration for a portfolio of investment fund structures. The role will involve KYC, and AML checks, as well as handling drawdowns and distributions for the funds as your knowledge base increases. The client offers full study support toward the ICSA (Institute of Chartered Secretaries and Administrators) qualification Read more […]
KYC
UBS is a leading global financial services firm. Our Investment Bank is one of the world’s top global investment banking and securities firms, providing a full spectrum of products to institutional and corporate clients, intermediaries, government and hedge funds worldwide. We are looking for someone with Front office experience who can be responsible for facilitating the Know Your Client (KYC) process for new corporate finance transactions. The position requires heavy interface with CCS Banking Staff, Legal and Compliance and client on-boarding. The position will be located in London. The Read more […]
KYC Global Remediation Strategy/TOM Manager
Global Remediation Strategy/TOM Manager Role Purpose To provide support to the KYCS Head of Global Remediation in designing and implementing; Global Remediation Strategy Organisation Design Global Process Design Local Implementation of Global Remediation Project Processes Regional Continuous Improvement Culture Management of BAU resources to deliver the role Stakeholder management (with the Business, Compliance, Policy and other external stakeholders) for the remediation activities. Participation in change initiatives impacting the remediation projects (Global Standards CDD, FATCA etc within the Read more […]
Compliance Analyst
My Client, a prestigious investment bank is looking to recruit a Compliance Analyst on a 3-6 month basis. The role with have a strong emphasis on FCA approved persons and registrations. Responsibilities include:Ensuring all required employees requiring FCA/PRA status are fully aware of the registration processReport to senior management any individuals who have not met these requirements within a given time frameSending withdrawal notices for all leavers that no longer require registrationCompleting all internal employee registrations with a number of European Exchanges ensuring “fit and proper” Read more […]
Enhanced Due Diligence Analyst
The role requires someone that has experience with cross-border searches, liaising with a range of stakeholders in compliance and across the business. You’ll need to have worked in a global team before, ideally having exposure to a wide range of financial products and markets, be able to conduct independent in-depth research from a variety of external sources. You will be a clear and influential communicator, able to work with clients and vendors, as well as senior management across the business. This is a new role for our client which is continuing its growth across their corporate governance Read more […]
Manager Operational Risk Governance
VP Level Group Operational Risk Excellent Career Scope A well-known international bank is currently looking for a Vice President level professional to work as the Secretariat in the Group Operational Risk team. The main functionality of this role is to support the governance of the group operational risk committee, this will involve – Planning, coordinating and preparing the GORC agenda Managing the rolling agenda Compiling and circulating committee papers Ensuring the timely and effective follow up on action items This is an exciting and challenging role that would suit somebody that has a governance Read more […]
Portfolio/Marketing Compliance Analyst
The primary responsibilities include reviewing trades to ensure compliance with investment guidelines, coding security attributes in the system, and performing regular reviews of portfolios to ensure compliance with client guidelines, internal policies and applicable regulations. •Create and maintain new security masters. •Performance regular reviews of portfolios to ensure compliance client guidelines, internal policies and applicable regulations. •Work closely with account managers and portfolio managers/traders to resolve issues relating to investment guidelines. •Undertake ad hoc projects Read more […]
Dept Head Of Compliance Monitoring
Role: Dept Head of Compliance MonitoringType: ContractDuration: 3 – 6 MonthsRate: £475- £525per dayLocation: London A role is available within an Asset Servicing firm based inLondonto ensure the annual monitoring program is in line with the business activities and that the plan is executed as outlined. Previous experience needed:Experience in performing thematic reviewsA good understanding of current and upcomingUKregulations and risks associated with themDeveloped a mechanism to ensure all outstanding and overdue issues are chased up and escalated if necessaryBe able to lead and drive compliance Read more […]