Deputy Head of Compliance recruitment
Answering directly through to the Head of Legal Compliance, this role will have a broad and varied remit. Given this breadth of responsibilities, a complete understanding and ability to demonstrate a proven track record of all areas of Regulatory Compliance will be required. Key strengths in governance, policy and regulatory reporting will be expected. Applicants will need to have previous experience of working in a similar function within the financial services industry, preferably a global asset manager or investment bank. The successful candidate will be degree educated and have a strong legal Read more […]
Legal Counsel – Brisbane recruitment
CBD basedAdvisory workRespected organisationAn excellent opportunity is available for a Legal professional, with experience gained in a Legal Counsel capacity to work for a well reputed organisation in Brisbane. Joining a team of Lawyers, you will have exposure to financial services related work primarily in Brisbane and South East Queensland.Day to day you will be involved in liaising with internal and external stakeholders on a range of issues such as interpretation of contracts , documentation and investigating potential compliance and legal issues on behalf of the firm. To be considered for Read more […]
Head of Legal Department recruitment
ClientWith an innovative approach and an extremely strong presence in Geneva, this highly-regarded, entrepreneurial private bank offers first-class investment management and private banking capabilities as well as service excellence to its sophisticated global private clients.PositionAs Head of Legal, your role will be multi-faceted and very hands-on. Combining many senior operational aspects with managing a small team. Providing legal advice to management and the relationship managers as well as overseeing Swiss and foreign legal proceedings in all areas of law. Negotiating complex agreements Read more […]
Banking Legal Counsel (Restructuring/ Special Assets- Wholesale Banking Group) recruitment
The Legal Counsel shall provide assistance and advice: • Areas of law: advanced knowledge of commercial banking, investment banking, trade finance, any form of secured/ unsecured (syndicated) lending, structured products, any form of restructuring/refinancing. A sound working knowledge of derivatives, retail banking, real estate, commercial contracts, Islamic Finance, corporate law, and/or capital markets would bean advantage.• Advanced knowledge of LMA documents and good deal experience, including restructurings. • Across various areas of the business (including the Credit Department, Read more […]
**Compliance Officer** ASSET MANAGEMENT recruitment
• This is a challenging and rewarding opportunity for an individual who has experience of working at a Senior level within Compliance within the financial services sector.• You will have sole accountability for the UK compliance function reporting to the Head of Compliance who is based overseas. The office is expanding and the business growing so this has excellent growth potential.• You will ensure that the compliance and regulatory framework is robust and adapt the processes internally to accommodate any changes in regulation.• Act as CF11 for London office• Devise a robust monitoring Read more […]
Training and Competence Manager recruitment
This well established Life and Investment firm are seeking a Training and Competence Manager to join their Compliance and Governance function.Working closely with the Learning and Development function, you will be responsible for ensuring the firm adheres to external regulatory requirements and internal training and competence schemes. You will identify training opportunities to ensure staff obtain and maintain relevant skills and experience to achieve personal and professional goals whilst maintaining competence levels and an appropriate knowledge of and adherence to FSA requirements.The right Read more […]
Head of Anti Money Laundering recruitment
The role will involve delivering an effective framework for each division which is in line with the FSA regulations. The role will involve maintaining relationships with regulators and senior management delivering the AML solutions.Key skills must include:- Extensive background in the implementation of Anti money Laundering strategies and policy.- Prior work as the Group MLRO.- Comprehensive knowledge of UK, European, US and Global Law regulations.A background within Financial Services or large Blue chip organisations is a must. Read more […]
Compiance Officer – Switzerland recruitment
Job description:The succesful candidate will deal with Kyc and Compliance issues and will provide support with the drafting of Legal documentation and on the reviewing of files on a daily basis.Requirements- Education and professional experience in Switzerland is a must-Strong background in Legal and Regulatory-3 to 8 years experience as a Compliance Officer-Fluent English and French. Another lanaguage is highly benefical-Strong organisational skills, motivation and willingness to progress.To apply for this job, send your CV in word format to compliance@carltonseniorappointments.com Read more […]
Vice President, HK Compliance recruitment
JOB PURPOSE · To manage compliance risk for the HK market by providing advice, training, and managing relationships with regulators. KEY RESPONSIBILITIES Advisory · Provide compliance and regulatory advisory on an ongoing basis, covering all businesses in Hong Kong. Primary coverage: TSS, Commercial Banking, Private Banking, Credit Rates, CIO, GSOG. Secondary Coverage: Equities EDG, FO, Investment Banking Capital Markets Business · Expert on HK regulations and provide advice to business, support functions and other core compliance team on existing and new regulations with more focus on Read more […]
Regulatory Compliance- VP (Mortgage Banking) recruitment
Responsible for assisting in establishing, coordinating, and maintaining an effective compliance monitoring and department support to ensure compliance across all origination channels, Federal and State compliance monitoring and reporting. Emphasis will be on maintaining and implementing the department’s Compliance Plan and working closely with Operations, Compliance and Legal in preparing for, coordinating and responding to internal, federal and state regulatory audits. 1. Develop and maintain compliance monitoring program including the review and maintenance of branch support material published Read more […]