Compliance Department Internship M/F recruitment
The Exane group is a leading independent Capital Markets player in Europe with operations in three businesses:- Equities intermediation: sales, execution and research on European stocks, under the Exane BNP Paribas brand.- Sales and trading of listed equity derivatives as well as creation and issuance of structured products.- Management of alternative (and structured) funds.The Exane group employs some 850 people in Paris, London, Brussels, Frankfurt, Geneva, Madrid, Milan, Stockholm, New York and Singapore.The position is within the London Compliance Department, under the supervision of the UK Read more […]
Junior Compliance/ Surveillance Analyst recruitment
Assist in the day-to-day execution of the Equities compliance-monitoring programme including escalation and investigation of alerts where relevant.Assist, and where appropriate help lead, a number of projects to expand or enhance the coverage of the current Equities monitoring and surveillance product.Monitoring of trade report exceptions from the Equities trade floor.Assist where required the Equities advisory team.The monitoring team are in the process of major changes to the scale and complexity of their workload as new and interesting monitoring scenarios are either being tested, deployed or Read more […]
Head of Compliance Group for Leading Investment Bank – Germany & London recruitment
For senior compliance candidates this opportunity offers not only the chance to work in one of the world’s leading Investment banks but also help drive forward the entire compliance group. The position will cover 7 teams (Control Room, Control Room Operations, Position Reporting Group, Communications and Trade Surveillance, Registrations, AML Operations, Global Policy Approvals Group), allowing huge amounts of managerial exposure and a chance to shape several areas within the function.The role will obviously have a large amount of facing with senior management, as well as the firm’s key stakeholders. Read more […]
FUNDS LAWYER (UCITS SPECIALISATION) recruitment
The position requires a senior candidate with extensive legal knowledge and financial services experience with a specialization in the funds industry. The candidate must possess the ability to implement practical implementation of UCITS rules within the EU. The candidate will be required to undertake drafting of prospectus, addendums and general commercial agreements. Candidates must be capable of implementing all changes arising out of UCITS IV and to apply such changes to the applicable documentation arising from inter alia UCITS notices and guidance notes. Candidates will be expected to Read more […]
Regulatory Engagement – Premier Global Institution recruitment
Role description:This position is within the Compliance as part of the Regulatory Engagement team, which has responsibility for maintaining elationships with the FSA and other key European regulators, ensuring that necessary filings, notifications and all communications are properly addressed. This involves working closely with the wider compliance team.The role would suit an experienced compliance professional with broad regulatory experience and excellent communications skills. Knowledge and understanding of the FSA regulatory environment is expected, experience of dealing with other Regulatory Read more […]
AVP Compliance Officer – Transaction Monitoring – Control Room – Review recruitment
This role will form part of a team of 5 local compliance officers who will be responsible for Compliance reviews in the UK. This is a AVP level hire and you will report to the Head of the Compliance Review team. Compliance reviews will include reviews within the Investment Bank, Private Bank, Asset Management and Shared Services. Specifically, this will include desk reviews, themed reviews and a number of other internal reviews of the Compliance department. The candidate will be responsible for:• Trade monitoring and surveillance programme.• Produce the monthly compliance bulletin, detailing Read more […]
Head of Compliance – Life Insurance recruitment
This leading Life and Pensions provider are seeking a Head of Compliance Development, Monitoring and Training to join their Compliance function.You will be responsible for ensuring an effective system and control framework is in place to ensure the firm meets its regulatory compliance requirements and that these requirements are effectively communicated and implemented across the business. You will provide advice and guidance to the business on regulatory change, as well as, compliance and regulatory requirements. You will also manage the delivery of the Compliance monitoring programme to provide Read more […]
Senior Regulatory Analyst recruitment
Harvey Nash’s leading investment sector client is looking for a Senior Regulatory Analyst to join their policy team within their compliance division. This is an excellent opportunity for an experienced risk or compliance analyst to work in a varied role with all levels of a dynamic business.This is a rare opportunity for you to take a hands on approach on all things regulatory. You will play a part in creating, developing and maintaining the regulatory frameworks and will be responsible for analysing new legislation and providing recommendations on compliance policies.You will be involved in Read more […]
EMEA Privacy Counsel recruitment
You will work closely with privacy counsels, director global chief privacy counsel to support the firm’s privacy needs across a European platform and as the ideal candidate you will be a qualified lawyer with 3-5 yrs privacy experience and/or have a compliance privacy background.Responsibilities: Support the development of regional privacy strategiesFrom a data privacy perspective, maintain the development of new services offerings and productsLiaise with regional/local business leadersConstruct support the global privacy programmeImplement privacy by design principles across the businessExperience:Working Read more […]
VP, Regulatory Advisory Group recruitment
You will be involved in providing support and advice to the front office across asset classes and to relevant colleagues in financial and regulatory support functions. The team ensures that capital, credit and market risk regulations are applied correctly and that appropriate pre-trade sign-off is in place. Responsibilities: • Liaising with structurers and traders to gain an understanding of their business: reviewing trades, gaining deep understanding of the business case and facilitating solutions from a regulatory perspective • Providing regulatory assessment of risk implications Read more […]