EMEA KYC Regional Manager recruitment
S enior VP level – KYC Regional Manager – EMEA – LONDONMy client, a top-tier investment bank, is seeking a S enior KYC Manager to join their team in London on a permanent basis. The successful candidate will be reporting directly to the Head of EMEA Client On-boarding and KYC. The department ensures compliance for new clients, existing clients and clients that are conducting business not currently complying with new regulatory changes. You will need to be able to face-off to the business, communicate confidently with sen ior stakeholders and regulators as well as partnering closely with EMEA compliance Read more […]
Compliance Senior Manager – TCF recruitment
Financial institution based in London is looking for a Compliance Manager to manage their Customer Treatment team.To manage the Customer Treatment team within Corporate Markets Compliance, in order to deliver a quality compliance service to help ensure that the business area/business undertaken is in adherence with all relevant internal and external customer treatment regulatory requirements principles. This is a newly created role which will form a key part of the Regulatory Risk Management function within Compliance helping to ensure that Conduct Risk is appropriately managed.Implement a compliance Read more […]
Compliance Analyst recruitment
Main Responsibilities Contribute on all compliance matters pertinent to the Asset Management International and the CIS Management Companies and particularly those matters focused on sales and marketing activities. Contribute to the design, development and execution of a risk based compliance monitoring approach across the International business. Sharing responsibility with the Sales and Distribution Team for: – implementation of the compliance monitoring oversight programme,sales and marketing activities of the business.Actively support the review of financial promotions. Liaise with European Offices Read more […]
Legal & Compliance – Compliance Manager – VP – Based in London recruitment
Job description below:Compliance assesses the regulatory risk in the region and provides policies, procedures, programs and guidance to assist the firm in meeting the regulatory requirements.The role of this position is to be a senior member of the Internal Governance Team within the Compliance Department, interacting with management of businesses and control functions, giving advice and guidance promptly. Representation on Committees on behalf of the department will be commonplace and chairing meetings will also be required. In time, the role holder may be asked to take on directorships of internal Read more […]
Group Legal & Compliance Assurance Technical Conformance Manager recruitment
£ Excellent packageRef: PJ/PA/02Group Legal Compliance Assurance Technical Conformance ManagerOur client, which is a very well known recognised player in the FS Markets, seeks a Manager to provide reliable, valued assurance to the Group Head of Compliance (Group Principal Risk Owner) over compliance in relation to the application of particular internal rules policies, external regulations, and, where applicable, local laws and restrictions pertaining to Legal Regulatory Compliance and Financial Crime.The core responsibility of the role is to support the planning of technical conformance reviews Read more […]
Compliance Officer (part time) recruitment
Currently the COO holds the CF10 11 controlled functions but as they business grows his workload will increase again and he needs to be able to pass on responsibility for compliance. It is expected that the successful candidate will assume these functions when joining. This is a hands-on compliance role and you will be expected to cover all compliance duties within the firm from compliance monitoring and updating processes through to advisory and new fund launches.You should be able to demonstrate significant compliance experience gained in fund management or hedge funds, and currently hold / Read more […]
Investement Compliance Manager recruitment
Position Description:Wellington Management is one of the world’s premier investment management organisations. We are a global, privately owned firm that is 100% focused on managing money for institutional investors and mutual fund sponsors. We are headquartered in Boston with ten affiliate offices in the United States and around the world.We have a diversified, balanced, and growing business. Our clients are based in over 40 countries – more than one third of them are domiciled outside the US – and in total they have entrusted us to manage over US$650 billion of their assets. On their behalf we Read more […]
Assoc Director, Sanctions Assurance Testing, Group Legal & Comp Tm recruitment
Assoc Director (Sanctions Assurance Testing, Group Legal Comp TeamRef: PJ/PA/04£70-80K + £3,500 LW + £4,999 CA + packageOur client, who is a well respected organisation in the FS markets seeks an Assoc Director to provide reliable, valued assurance to the Group Head of Compliance (Group Principal Risk Owner) over compliance in relation to the application of particular internal rules policies, external regulations, and, where applicable, local laws and restrictions pertaining to Legal Regulatory Compliance and Financial Crime.The core responsibility of the role is to plan, execute and manage Read more […]
Assoc Director – Gp Legal & Comp Assur Team – Sanctions recruitment
Assoc Director – Group Legal Comp Assurance Team (SANCTIONS)Ref: PJ/PA/05£Excellent package + £4,999 Car AllowanceOur client, who is a well respected organisation in the FS markets, seeks an AD to provide reliable, valued assurance to the Group Head of Compliance (Group Principal Risk Owner) over compliance in relation to the application of particular internal rules policies, external regulations, and, where applicable, local laws and restrictions pertaining to Legal Regulatory Compliance and Financial Crime.The core responsibility of a Technical Conformance Associate Director within the Group Read more […]
Compliance Officer- Qualified Lawyer for COLP status recruitment
An excellent opportunity has arisen at a leading law firm for a qualified lawyer with Compliance experience within the legal sector to work closely with the MLRO and the Risk Committee, also being the first point of contact on any money laundering and compliance issues that arise within the firm.Some of the responsibilities within the role will include:• Carry out and verify Customer Due Diligence (CDD) / new client openings and Anti-Money Laundering (AML) evidence for all types of entities, including trusts, private equity funds and unit trusts.• Perform ongoing compliance monitoring of Read more […]