Derivatives Lawyer recruitment
Company Overview Schroders is a global asset management company with £182.2 billion under management as at 30 September 2011. Our clients are major financial institutions including pension funds, banks and insurance companies, local and public authorities, governments, charities, high net worth individuals and retail investors.We apply our specialist asset management skills in serving the needs of our clients worldwide. With one of the largest networks of offices of any dedicated asset management company, we employ over 2,500 people globally, 1,500 of whom are based in London.With over 300 portfolio Read more […]
Vice President – Compliance, Private Wealth Management recruitment
Reporting to the Head of Hong Kong Compliance and working closely with the Head of Wealth Management, you will have oversight for the business’ compliance to global policies and regional regulatory directives. Key duties will include assessing the bank’s current compliance framework across cross-border business conduct, personal account dealing, production and distribution of marketing materials and liaising with Anti Money Laundering colleagues on high risk transactions . You will also set up monitoring programmes for client suitability and the surveillance of trades in addition to reviewing new Read more […]
Compliance Consultant in Zurich office, Switzerland 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
Chief Compliance Officer recruitment
JOB DUTIES/RESPONSIBILITIES:• Maintain and update the Written Supervisory Procedures.• Review/monitor internal processes for compliance with company’s policies and procedures.• Oversee compliance of retail brokerage and investment banking business.• Oversight of written and electronic correspondence.• Oversee brokers under heightened supervision.• Research possible compliance violations and recommend corrective action.• Provide training to employees on regulatory and compliance issues.• Review advertising and sales literature to ensure compliance with FINRA and SEC.• Oversee Read more […]
JURISTE/COMPLIANCE
About our client:Notre client, une société active dans les fonds de placement immobilier de droit suisse, recherche un(e) Juriste/compliance français/allemand. Job description:- Mettre en place des directives internes et assurer leur respect au sein de la société, – Suivre la relation avec la FINMA et les auditeurs de la société, – Préparer et contrôler les contrats gérés par la société (bail, entreprise, travail, acquisition immobilière, etc.), – Suivre les procédures juridiques en cours (principalement droit du bail et de la construction), – Participer au développement de Read more […]
Regional Compliance Adviser recruitment
Close Brothers Group is listed on the London Stock Exchange in 1984 and today ranks among the top 250 listed companies in the UK.Close Asset Management provides financial services to private individuals, institutional clients and their advisers, employers and intermediaries such as IFAs and offers a wide range of investment management, trust, banking, advisory, educational and administrative services across the UK.Close AM are currently recruiting for an experienced Regional Compliance Adviser to be the Compliance lead in respect of a designated region of CAM’s advisory business. To provide ongoing Read more […]
Associate/AVP – Compliance – Singapore recruitment
Primary responsibilities include:Advising on and managing a broad spectrum of regulatory compliance issues (e.g., market conduct, proper handling of material non-public information, regulatory reporting) and ethical conduct issuesReviewing compliance policies procedures to identify potential areas of compliance vulnerability and risk, making recommendations and implementing changes to mitigate these risksWorking with the Compliance team to track industry best practices and regulatory changesConduct compliance trainingRequirements:You must have a good working knowledge of the financial services Read more […]
Head of Compliance (Hedge Fund) recruitment
Reporting into the global CCO, the successful candidate will be registered as CF10 11 and take overall responsibility for compliance across the London operation. The successful candidate will also be called upon to provide compliance oversight and advice to the Hong Kong office.Candidates should be able to demonstrate a significant track record in compliance. Current or recent registration as 10 11 would be preferred.Whilst compliance experience gained in a hedge fund environment would be preferred, the client will also consider candidates with applicable experience from an asset management Read more […]
Lawyer – Privacy Specialist EMEA recruitment
Responsibility will include:• Support and create (as necessary) Privacy Program in EMEA • Liaise with Regional/local business leaders regarding Privacy Office initiatives, new tools and new laws • Create regional privacy strategies which support growth• Enhance and support country data manager network. • Support development of new service offerings and products from a data privacy perspective.• Interpret, apply and ensure compliance with European privacy laws as well as serve as Regional contact for all Data Protection Authorities.You will need:• Solid knowledge of EMEA data Read more […]
Compliance Advisory / Life Insurance recruitment
About Our ClientOur client is one of the world’s leading Insurance companies who has a track record of more than 80 years. They are regarded as a strong, trusted brand and one of the top life insurance companies in the region. Currently they are looking for an Assistant Manager within the Advisory Compliance team.Job DescriptionAs an assistant Manager, you will join the Advisory Compliance team and your role will be :To plan, develop and manage the Compliance initiatives to determine if the business units are compliant with the Internal policies and the Regulatory requirements;To review the procedures Read more […]