Senior Legal and Compliance Manager – Zurich based office 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 […]
Legal Counsel, Banking/Financial Services recruitment
The role of the Legal Counsel shall cover the provision of legal advice principally within the following areas:Wholesale BankingIslamic BankingRestructuring and Special AssetsCash and Trade/Trade FinanceAgency on syndicated deals.The Legal Counsel shall provide assistance and advice:Areas of law: advanced knowledge of commercial banking, investment banking, trade finance, Islamic Finance, any form of secured/ unsecured lending, structured products, any form of restructuring/refinancing. A sound working knowledge of derivatives, retail banking, real estate, commercial contracts, corporate law, Read more […]
FSA Remediation Compliance Consultants recruitment
Job Description Support the FSA Remediation exercise, in response to the recent “Dear CEO” letters that have been sent by the FSA earlier in the yearReview completed files that were previously verified by the sales team and assessing them in relation to retail suitability under FSA guidelines and regulationsSkills and ExperienceDegree educated – business/finance/law related; professional qualification as well would be preferred but not essentialProven compliance consultancy background working with Private Wealth Management clients ideally with a focus on understanding Read more […]
Equities Trading Compliance Officer recruitment
Responsibilities:* Design and develop effective compliance procedures and controls in support of new and expanding trading activities* Draft, review, and refine documents that govern company policy and practice* Deal with the high volume of equities trades that can go through the hedge fund* Participate in audits and assist in the management of regulatory examinations Requirements: * 5 to 8 years of equities sales and trading compliance experience at a financial institution* Possess exceptional verbal and written communication skills* Strong understanding of systems used by investment advisors Read more […]
Team Head- Investigations (Ref. no TH-I/DK261011) recruitment
This will be a regional role but with responsibility to build and manage a team in Hong Kong. Being the key point of contact for various lines of businesses, your daily responsibilities will include indentifying, investigating and documenting unusual activity relative to current and/or prospective customers. You should be able to write concise, logical, grammatically correct analytical reports to explain unusual activity in preparing Suspicious Activity Reports for submission to Department of Treasury’s Financial Crimes Enforcement Network. The role requires you to work with businesses Read more […]
Senior Legal Counsel recruitment
Key ResponsibilitiesCorporate Structuring / Strategic Planning – Review with Finance, Tax and Planning, and provide legal advice on the Group corporate structure for efficient planning to achieve The Group’s objectivesFinancing Solutions – Look after all legal aspects of The Group Financing needs, this includes Structured Financing, Trade Finance, Loan Syndication and Project FinanceLegal Risk Management, Business Risk and Trading Risk Management / Risk Mitigation – Work with relevant departments e.g. Risk Management, Finance, Tax etc to provide legal protection and risk management advice to Read more […]
Compliance Analyst recruitment
Company OverviewBoston Trust Investment Management Company (Boston Trust) is a 100% employee owned firm that provides portfolio management services to individual and institutional clients. The firm manages more than $5 billion in client assets for institutional and high net worth investors. Boston Trust employs approximately fifty-five people and specializes in actively managed, high quality equity, fixed income and balanced portfolios. Walden Asset Management, a division of Boston Trust, is a leader in managing portfolios for clients whose overall investment objectives include environmental, Read more […]
Trade Surveillance Compliance Manager
As the team leader, you will have overall responsibility for implementing policies, conducting reviews and investigations across the various business segments. The key responsibilities for the role will be: Leading and managing a team of people Implementing the trade surveillance program across various business segments Conducting trade surveillance reviews across different business areas. Performing audits of existing compliance practices Advising the business on policies and processes As such, my client is looking for someone who can demonstrate the following: Read more […]
TECHNICAL COMPLIANCE ADVISER
PRINCIPAL ACCOUNTABILITIES 1.Obtain and assess the impact of proposed regulatory changes published by the relevant regulators to ensure regulatory and legislative requirements are identified, communicated and addressed as appropriate.2.Develop processes and procedures to ensure effective and efficient compliance on a pan-European basis with applicable regulations on banking and insurance mediation and provide advice accordingly.3.Assist in the identification of Compliance risks to which the business is exposed, and help maintain and update the Compliance Risk Register for the bank.4.Update Compliance Read more […]
Avocat Contentieux – Luxembourg office recruitment
Pour etre considere pour cette excellente opportunite, tout candidat doit repondre aux criteres suivants: 7 ans d’ experience en tant qu’ avocat specialiste en contentieux3 ans d’ experience au Luxembourgadmis au barreau de Luxembourg, tout admission a un autre barreau est considere comme un avantage majeurlangues: Francais et Anglais doivent etre parles couramment, tout autre langue est considere comme un avantege.Motivation, dynamisme, rigueur sont des qualites majeuresesprit critique et “business-minded”Keywords: contentieux, litigation, lawyer, avocat, legal, droit, law, juriste, cabinet Read more […]