Senior Legal and Compliance Manager – Based in Switzerland recruitment
This is an attractive and interesting role for an ambitious and motivated Legal and Compliance Officer who is keen to step up into a Senior Legal and Compliance role.Main tasks include:– assisting Global Head of Compliance on international matters– co-operating with FINMA– advise the front office staff in Switzerland– leading projects in the international contextBasic Requirements:– 5-10 years of experience– Bar Exam– Fluency in German and English– previous Compliance experience not essentialTo apply for this Senior Legal and Compliance Manager role in Zurich please send your CV to compliance@carltonseniorappointments Read more […]
Regional Compliance Manager recruitment
Responsibility:This position is based in Chongqing. As the west regional compliance head, you will manage the compliance teams over 3-4 cities, such as Chongqing, Wuhan, Xi’an, etc. to build up solid relationship with local regulators, and support business by providing relevant advisory.As a function head, you will also be responsible for the KPI and performance review for the compliance teams, training to upgrade the team quality, and fluent communication with head office.Successful Applicant:To be successful in application, you need to have over 10 years of working experience, especially 5-6 Read more […]
Control Room Compliance – Investment Bank recruitment
Specific responsibilities in the role would include:Manage and maintain the Chinese Walls and the Watch Restricted Lists including placement of required trading restrictions Provide compliance advice and guidance on Control Room related matters including application of insider trading regulations Conduct and manage conflict checks Assist in conducting research report clearance Assist in continued development of the Control room including policy and technology developments. This includes updating, developing and implementing compliance policies and procedures to ensure that the Firm is in a Read more […]
KYC Analyst recruitment
Responsibilities/Requirements as follows: Excellent communication skills and ability to communicate all types of information to a range of audiencesGood understanding of rules around KYC, AML, MiFID and legislative requirementsPerform sanctions checks on clients and also classification of KYC and MiFIDKnowledge of operational risks that banks face and experiencing in monitoring controls consistently to prevent thisCandidates from retail banking or wholesale markets (FX, Fixed Income or Derivatives) are requiredAdvise teams of any potential impacts by tracking industry and market developmentsFor Read more […]
AVP – Compliance – WMD – Australia recruitment
AVP – Compliance – Wealth Management – Sydney/MelbourneFinancial Institution currently has a requirement for an AVP Level Compliance professional (Wealth Management/Sydney or Melbourne).Based within the Wealth management arm of the Financial Institution, the AVP Level Compliance professional (Wealth Management/Sydney or Melbourne) will be very hands on and will play a key part working across the Compliance function.The AVP Level Compliance professional (Wealth Management/Sydney or Melbourne) will also be involved in Control Room activities, Advisory for the Retail brokerage business, have a strong Read more […]
Head of Central Compliance recruitment
Leading banking organisation is looking for a Head of Central Compliance to join their London team.Duties include:Deputise for COO as appropriate;Liaison with internal and external counsel and regulatory bodies;Undertake transversal projects as assigned by the COO and/or Head of UK Compliance;Ensure that at country level the Compliance procedures, systems and controls are up to date and effective, and to identify / facilitate remedial action where necessary;Ensure all reporting processes and requirements at country level are fulfilled;Take a leading role in the preparation for regulatory inspections Read more […]
Legal Officer- Fluent German and Advanced English recruitment
In this challenging position you will be responsible for all legal matters within the organisation as part of the small and expanding team.The role:Legal research in banking and financial law with a view to future developmentsAnalysis and advisory on the bank’s activitiesControl and updating internal processesCompliance activates supervising asset managersContract supervisory workFINMA communication and contactThe ideal candidate holds a masters degree in Swiss law with a minimum of 5 years of experience in legal and compliance roles.You will come from a banking background or a role within a Read more […]
Avocat contentieux – Belgium recruitment
Pour etre considere, tout candidat doit: avoir recu son education (jusqu’ au niveau licence au moins) en Belgiqueavoir une tres bonne connaissance du droit Belge.avoir le barreau Luxembourgeoisavoir au moins deux ans d’ experience dans un cabinet d’ avocats base a Luxembourgparler couramment Francais et Anglaisetre independant et autonomeavoir un reel esprit d’ equipeavoir l’ intention d’ evoluer et progresser dans le domaine du contentieuxSi vous repondez a ces criteres, envoyez-votre CV en format word a compliance@carltonseniorappointments.comKeywords: Contentieux, Litigation, lawyer, legal, Read more […]
Investment Fund lawyer – Based in Belgium recruitment
To be considered for the role, the candidate must:be a qualified lawyer with any European Barbe fluent in German, French and English.have 3 to 5 years in a law firm working in the funds departmentexperience as in-house can be advantage but there must be a minimum experience in a law firmbe autonomous, independent, hard-workerhave a very strong interest for the funds industrybe reliable, ressourceful and trustworthy.To apply, please send your CV in Word version to Compliance@carltonseniorappointments.comKeywords: law firm, legal, law, lawyer, investment fund, funds, legal, Germany, Berlin, Luxembourg, Read more […]
COMPLIANCE MANAGER – MULTINATIONAL – UAE recruitment
Key responsibilities of the role include:-Deal with all compliance and regulatory affairs and liaise with the local regulators; Advise on changes of local laws/regulations and indicate its implication in internal policies/procedures-Develop and implement compliance monitoring programs and identify needs for further enhancements-Analyze and monitor client complaints-Training of employees on internal procedures, guidelines and legal regulatory requirements The successful candidate will have a minimum of 5 years experience within a top tier organization. A sound knowledge of MS office Read more […]