Compliance Manager, Asset Management ($35-55K) recruitment
The Company Our client is a leading asset management firm with an international focus. Due to an expansion in the team they are currently seeking a professional and experienced compliance candidate to join their compliance team. The Role • Prepare and update compliance policies and procedures; • Handle and advise on all regulatory related matters; • Perform compliance surveillance and monitoring; • Review all sales and marketing materials; • Promote compliance awareness and provide compliance training to staff; • Handle SFC enquiry and conduct related investigations; and • Assist Read more […]
Senior Legal Counsel — Investment Banking – Switzerland recruitment
The role is primarily to deal with Complex International Transactions on OTC Derivatives across different jurisdictions.Other responsibilities include:– Leading all legal and regulatory aspects of European expansion– Supporting ISDA/GMSLA (including Repo) governed businessRequirements:– Swiss legal background– Experience in a legal, ideally with a regulatory angle– 5-10 years of working experience– Understanding of the investment banking environmentTo apply for this Legal Counsel role, please send your CV to legal@carltonseniorappointments.com or call 0044 20707 80559 for a confidential Read more […]
Corporate/Banking Lawyer – Based in Berlin, Germany recruitment
To be considered, the candidate must: Be fluent in English and French. German must be the native language.Have 3 to 7 years experience in a top-tier law firmin-house lawyers are also considered, as long as they have also had experience in a law firmbe expert of tthe corporate/banking industryhave any European barhave received all his/her education in Germany (at least until the Masters)be flexible, hard-worker, eager to learn and progressbe trustworthy and reliableTo apply, please send your CV in word version to: Compliance@carltonseniorappointments.comKeywords: Legal, Law firm, Lawyer, Germany, Read more […]
Compliance Manager [Ref:Compliance Manager – SEGL/CPL] recruitment
Main Responsibilities:Providing advice to business and resource functions on regulations and compliance policiesDrafting and reviewing the compliance policiesConducting periodic desk reviews of the firm’s activities, through interviews and test checks and preparing reports of findingsLeading projects on different compliance aspects upon regulatory changesProviding training on general or specific compliance topics, as requiredCoordination with local compliance officers in the regionReviewing marketing materials as requiredUpdating business and other relevant parties on the new and hot compliance Read more […]
Compliance Director : Retail recruitment
Compliance Oversight / Consultancy Proactive contribution to, and challenge of, the business unit Compliance functionEnsure business unit Compliance functionhave a clear understanding of the dynamics of their regulatory compliance risk profile and are aware of their ongoing responsibilities;Support the development of their business unitcompliance capability and constructively challenge their ongoing effectiveness;• Understand and constructively challenge business unit Compliance function(s) on the regulatory compliance risk exposures, both current and anticipated, that should be receiving attention; Read more […]
Investment Fund Lawyer – Office in Berlin 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 […]
Legal Assistant recruitment
This well-known and expanding General Insurance firm are seeking a European Legal Team Assistant to join their Legal department.This is an exciting opportunity for a Law Graduate and will involve providing paralegal and administrative support to the European Legal Director and Company Secretary. You will be responsible for preparing written reports, drafting and amending contracts and checking legal documents. The role will also provide the opportunity for support the Compliance team and to be involved in Corporate Governance and Insurance related legislation.The ideal candidate will hold a Law Read more […]
Compliance Assistant recruitment
Compliance Assistant required by an Asset Manager for their Financial PLanning and SIPP Businesses based in London. Provide assistance to the Group Compliance Officer of the Financial Planning and SIPP Businesses. Liaise closely and advise businesses to create and maintain an environment in which the businesses are able to comply with their obligations undervarious FSA regulatory requirements and the requirements of any other regulatory or Government body. Experience or qualification within the financial planning industry is desirable.
Compliance Manager – Financial Markets Division recruitment
This role aims to enhance the risk and compliance monitoring function through an integrated business approach. The function ensures adherence to internal and external policies and procedures facilitated by close monitoring to allow faster and more efficient mitigation and escalation of any breaches by traders and FMD sales teamThe incumbent will be required to interact heavily with the following divisions:Financial Markets front officeFinancial Markets middle officeWholesale Operations Centre (WOC)ComplianceRisk Management Division (RMD)This role will report directly to the Head of Financial Markets Read more […]
Compliance Manager – Taxation recruitment
A leading bank in the UAE is looking for a Tax Compliance Manager to join their growing team. You will be required to manage, update and improve all tax administrative systems and processes as well as promoting validity, accuracy and completeness of tax accounting. Perform tax risk management activities and ensure tax compliance as well as carrying out necessary tax training, preparing tax manuals, updating tax policy document and implementing across the business.Applicants will have excellent experience tax in the areas of compliance. The successful candidate will need to have strong communication Read more […]