Compliance Advisory AVP recruitment
This candidate will be responsible for advising Listed and OTC Single-Stock and Index Options, Complex Equity, Exotics, Structured Products and Notes. He or she will work closely with compliance advisors covering Equity Sales Trading, as well as regularly collaborate with Legal.This candidate must have a strong understanding of equity derivative products and markets, which includes current and proposed industry and regulatory developments. Knowledge of related products including Futures and Swaps is preferred. He or she should also have the ability to support and defend complex compliance decisions Read more […]
Compliance AML Associate recruitment
The Compliance Department protects the company’s reputation and provides client focused advice. It understands challenges and advises on the impact of regulation in our business, with the objective of:Actively participating in business decisions to champion our clients’ interests and assist the business to translate Compliance into their daily workHave client interests at the centre of everything we doCultivate and enhance the compliance culture within the companyProvide thought leadership on the impact and implementation of regulationDeveloping and fostering excellence within the Compliance Read more […]
Compliance Officer – Compliance Review / Control 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. Your main responsibilities will be to: • Manage and lead Compliance reviews cross divisionally. This will include: Read more […]
Assistant Compliance Manager recruitment
A prestigious, global, Asset Management Group are looking for a Compliance Manager to join their team to provide significant input, development and support of compliance standards, policy, strategy and controls within the business.The role will include, but not be limited to:• To assist in preparing an annual plan for that adequately reflects the compliance accountabilities and compliance risks (including money laundering risks) and implement the agreed plan• Assist in ensuring that the Private Bank Cross Business Monitoring Team (‘CBMT’) can complete their compliance monitoring plans. Read more […]
Director of Compliance recruitment
Our client has two main business divisions – an equities-only brokerage platform as well as Investment Management.To be successful for this role, you will have:- At least 10+ years experience in compliance- Extensive experience with FSA-regulated companies- Must be based in London, UK- Superb interpersonal skills as well as demonstrating a strong work ethic- Fluency in EnglishIn addition, you will have strong analytical and communication skills, as well as an excellent ability to multi-task.Our client offers you long Read more […]
Risk & Compliance Lawyer recruitment
A top 10 international law firm is looking for a Risk and Compliance Lawyer for a maternity cover contract. You must be fully qualified lawyer who is immediately available and has a strong desire to pursue a career in Compliance. This position will sit within a busy team of qualified lawyers who are managing the firms’ risk exposure so will require strong organisational skills and the ability to make quick, important decisions and give advice to senior partners within the firm. This position does not require previous risk and compliance experience, however you do need to express a keen desire to Read more […]
EUROPEAN GENERAL COUNSEL – FINANCIAL SERVICES DIVISION recruitment
We are well established global commodity trading firm with a fast growing financial services division encompassing brokerage activities in fixed income, equities, foreign exchange and listed and OTC derivatives.Presently we are seeking to appoint an experienced lawyer with a compliance background to the newly created position of European General Counsel in our financial services division. Working in our London office and reporting directly to the divisional Managing Director you will be a key participant in the division’s management team and tasked with managing the legal and compliance risks Read more […]
ISDA Negotiator – Legal Master Agreements recruitment
London is an important centre for global English law documentation. The successful candidates will report to the London Head of Master Agreements who has responsibility for English law governed documentation globally under the responsibility of the Global Head of Master Agreements, also based in London. Main responsibilities Manage a caseload of ISDAs and related agreements (e.g. CSAs) and other master documentation based on approved formsNegotiate master agreements with counterparties in compliance with the Bank’s global standardsLiaise with the Bank’s relevant business lines and external Read more […]
Charles River Compliance recruitment
Prestigious global asset manager seeks an experienced regulatory analyst to monitor all regulatory, client and internal restrictions and investigate and resolve exceptions using Charles River compliance.This is a key role with significant business impact and the ideal individual will demonstrate a strong control focus, excellent understanding of TCF principles and the wider regulatory environment and the ability to manage relationships with a wide variety of internal stakeholders. There will be extensive liaison with the firm’s data management team, fund managers and client services area to Read more […]
Legal Counsel — Citi Transaction Services recruitment
Job Purpose: To assist the Director and Head of Trade Legal for Citi Transaction Services EMEA in providing legal support to the Citi Transaction Services (CTS) EMEA Trade Business. CTS EMEA Trade forms part of the CTS EMEA Treasury and Trade Solutions Department within CTS EMEA. Job Background/context: The Citi Transaction Services Legal Department comprises a team of 17 lawyers (including the Head of CTS EMEA Legal) together supporting the CTS businesses (consisting of Securities and Funds Services and Treasury and Trade Solutions). The lawyers in the department are experienced lawyers – currently Read more […]