EMEA Head of Consumer Compliance recruitment
Job Purpose: The EMEA Head of Consumer Compliance directs and manages the GCB Compliance program in EMEA. The successful candidate will directly manage the regional consumer compliance team and work with the respective country Consumer compliance teams to ensure regulatory and policy compliance across all Consumer businesses in the region. The role will work directly with the GCB EMEA CEO and the respective GCB Executive Committee members, providing key strategic compliance advice. The role holder will be expected to work closely with other control functions throughout the region, and be a Read more […]
Equities Advisory Compliance recruitment
The client is a premier investment bank with one of the best, and importantly, growing equities franchises not just in London but worldwide. They offer their clients a particularly wide range of equity-based products and solutions that include especially innovative derivatives and structured product solutions as well as having a strong cash equities platform.These senior roles have a common thread but offer an interesting choice of subtly different career directions. Firstly, you could opt to join their large primarily floor-based equities advisory team and become one of the key point people Read more […]
Head of Compliance (Exclusive Mandate) recruitment
The successful candidate will be responsible for providing oversight, governance and ownership of the Compliance Function, ensuring that it provides the level of support, service and oversight required by its regulators, as well as by the regional and global business activities of the firm.Whilst there are compliance professionals in other parts of the global entity, this should be viewed as a standalone role with the successful candidate taking overall responsibility for compliance in London and other global offices as required.Key responsibilities include (but may not be limited to):• Responsible Read more […]
LEGAL COUNSEL – FIXED TERM CONTRACT recruitment
Description:Our client, a leading LLP firm is currently seeking an experienced Legal Counsel to join their Glasgow based team, initially on a 9 month contract. The successful individual will Report to the Senior Legal Counsel, playing a key role in the identification and management of legal and risk issues across the firm. The primary focus of this role will be drafting and reviewing commercial contracts although there is an expectation that the role will also involve an element of claims prevention and management as and when required.Core Responsibilities:Ensuring a professional, efficient and Read more […]
EMEA Regulatory Lawyer recruitment
Our Company State Street Corporation (NYSE: STT) is the world’s leading provider of financial services to institutional investors including investment servicing, investment management and investment research and trading. With $21.807 trillion in assets under custody and administration and $1.866 trillion in assets under management at December 31, 2011, State Street operates in 29 countries and more than 100 geographic markets and employs 29,740 worldwide. For more information, visit State Street’s web site at www.statestreet.comJob DescriptionGiven the extraordinary level and pace of legal, regulatory Read more […]
Vice President, Legal And Compliance, Sales & Trading Compliance Advisory recruitment
Role Description:• Provide Compliance support for Sales and Trading (equities, fixed income, commodities and futures), Investment Banking, Research, Prime Brokerage as well as central compliance matters (licensing and other regulatory applications)• Leadership – supervising a group of 3 Compliance Professionals• Advisory. Provide advice either independently or with other team members on regulatory compliance issues. • New business initiatives. Review and lead new business initiatives from a local regulatory, best practice and Firm perspective. • Compliance policies and procedures. Review Read more […]
Assistant Compliance Officer recruitment
The successful candidate should have at least 12 months experience working within the compliance space, ideally in a banking institution with Wholesale Financial Markets exposure. As an intrinsic part of a small team which works closely with each other, it is essential that the candidate be friendly, responsible, proactive, self-motivated and keen to learn.Key Roles and Responsibilities:To provide support and assistance to the rest of the compliance team including the Compliance Manager the Compliance Monitoring OfficerTo assist with compliance reviews and to be involved with regular trade surveillance Read more […]
Financial Intelligence Unit Analyst recruitment
Review of alerts relating to potentially suspicious activity and the preparation of Suspicious Activity Reports (SARs) to the UK authorities.The role derives from statutory obligations under the Money Laundering Regulations and the Proceeds of Crime Act.Key Duties• Conduct investigations of alerts escalated from the AML Monitoring Hubs, and reports of potentially suspicious activity provided by UK staff, using open source research resources. • Interface with business units, other internal departments and external agencies, to collect information needed in support of case research and to identify Read more […]
English and Italian Speaking Compliance Officer recruitment
Our client is a medium sized international investment bank with offices globally. They are looking to recruit a Compliance Officer for the London branch to oversee the compliance function for the UK business. The post holder will work closely with group compliance to provide support and coverage to the capital markets and trading businesses with a focus on AML, MiFID and market abuse.Key responsibilities of the role are:• Reviewing trading and capital market activities• Providing interpretation of relevant rules, regulations, policies and procedures to staff• Providing robust advice and Read more […]
Deputy MLRO recruitment
The Compliance function monitors and advises the business in respect of all regulatory matters, including:Compliance conduct of business;Anti-money laundering (AML); andCounter-terrorist financing (CTF) and other financial crime.You will work closely with the Senior Compliance team to provide an expert advisory and monitoring service including:• comply with all relevant legislation, rules, regulations and codes of conduct;• deter and report attempted money laundering incidents;• deter and report incidents of terrorist financing and other financial crime; and• safeguard the reputation Read more […]