Control Room Manager recruitment
Essential Good knowledge of the FSA rules (including MIFID)Excellent knowledge of conflicts management issues gained from working in a FSA regulated bank or broker.Knowledge of cross-border transactions and/or European Regulations.Knowledge/exposure to at least 3 of the following products: Credit/rates (cash/derivs)Foreign exchange (spot/forwards/options)Equity (UK European)Financing transactions (repos/reverse repos, stock lending/narrowing)Corporate banking activitiesResearchAbility to communicate with FO personnel regarding comp obligationsHighly developed written oral communication skillsBasic Read more […]
**Compliance Administrator** recruitment
Supporting the Head of Compliance you will be responsible for a variety of tasks including:compiling the annual compliance plan, ensuring all regulatory risks are idenifitied, and communicting this to senior management.Coordinating the monthly MI pack for the Head of ComplianceIdentifying regulatory changes and the impact on the business, communicating this to the wider Compliance team.Responsibility for coordinating training manual and communicating to the business.This is a varied for a reputable Investment Bank for an individual with banking and compliance experience, looking to develop themselves Read more […]
Senior Manager – Uk Distribution recruitment
Overview of Key Duties:To work with UK Distribution, Group Compliance and Internal Audit to provide reasonable assurance of Distribution’s compliance with its regulatory obligations and the effectiveness of the control environment. For the purposes of this role summary, “Distribution” includes the activities of the following departments; UK Institutional Sales, UK Intermediary, Product Development, UK Marketing (including material generated by them and material created outside the UK for distribution in the UK), Client Services, SPML, SIL, SUTL and Corporate Communication. In addition covers Read more […]
VP KYC Policy recruitment
In this role you will be tasked with interpreting KYC and AML policy and regulation, ensuring that business policies and standards are updated appropriately. You will act as an advisor to the business and the KYC onboarding teams in relation to interpreting guidelines and developing policy.Key to your success will be your ability to foster and develop relationships with the KYC compliance teams and deliver bespoke training.This role will have a direct impact on business processes so is seen as a critical role within the business.The successful candidate will have a minimum of:Degree educated. Advanced Read more […]
Compliance: monitoring manager recruitment
Role As a senior compliance officer you are responsible for monitoring the overall compliance of the business units in accordance with the local and international regulations. You are a direct report to the head of the compliance.- Monitoring compliance — collecting and analyzing information on the compliance status of the various business lines;- Detect and correct violations; Provide evidence to support enforcement actions.- Evaluate program progress by establishing compliance status; develop Self-monitoring, and self-reporting by the regulated community.Profile : University degree, Read more […]
Compliance Consultant (Investment Bank/Inter Dealer Broker experience) recruitment
Our Regulatory Compliance Consulting business is dedicated to providing compliance advisory services to our diverse client base and as part of our growth plans we are looking to add a sell-side compliance specialist to our team. This experience is likely to have been gained in an Investment Banking or Inter Dealer Broker environment.Key Responsibilities: • Provide clients with responsive regulatory advice and solutions• Update clients on regulatory change and how it impacts their business• Draft manuals and other compliance documentation for clients• Set up relevant compliance infrastructure Read more […]
Assistant Manager, Compliance
Job description:o Conduct regular compliance monitoring procedures and checkingo Handle trade approval and review exception reportso Handle staff dealing matters, update staff dealing records and review staff dealing-related reportso Handle regulatory reporting, filing and client reporting for the groupo Handle licensing application, filing and other related matters for the groupo Review marketing materials and handle enquiries from business teamo Coordinate Read more […]
Compliance – Asset Management recruitment
This well known and rapidly expanding FTSE 100 Financial Services firm are seeking a Compliance / Regulatory Risk professional to join their Asset Management Regulatory and Governance team.This newly developed role which reports directly into the Head of Regulatory Risk will provide direct support to the business in regards to the management of regulatory risk. You will act as a main point of contact on regulatory risk frameworks, this will include advising on impact of regulatory change. You will work closely with specialist business and department leads, as well as Compliance specialists within Read more […]
Legal Counsel
Due to recent expansion, they require someone to join the legal team in Singapore as a legal counsel.Responsibilities of the role include:Providing general legal support and advice to all parts of the bank’s operations and business units across the regionReviewing and advising on all bank documentationAssisting the business in structuring, negotiating and documenting transactions and liasing with external counsel on key areas of litigations, etcMy client is looking for the following requirements in the right candidate:Degree in Law with a minimum of 3 years PQE or in- house experienceWorks well Read more […]
Compliance Consultant – Switzerland, Zurich based recruitment
The role offers an insight to a wide portfolio of different organisation and a close co-operation in the legal and compliance advisory field. The role is for dynamic individuals with 2-5 years working experience who would like to gain experience across the industry with an international exposure. To apply, please send your application (Word format) to compliance@carltonseniorappointments.com or call +4420707 80559 for further details