Regulatory Business Consultant recruitment
Due to an unprecedented change in the regulatory environment our client are looking to bring on a Consultant to deal with a number of regualtory changes that will come into force in the near and medium term i.e. Dodd Frank Act (US), EMIR (EU/UK), MiFID-2 (EU/UK), Basel-3 (Global).The role is to work for a newly created support function in the business line specialist area with the aim of delivering an independent, robust and controlled environment that underpins the business activity.Duties:Perform full front to back analysis of Rates Credit Market/Credit Risk and system capabilitiesDocumenting Read more […]
Group Legal & Compliance Assusrance Technical Conformance Manager recruitment
£70K + London Weighting + 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 Read more […]
Compliance Officer – Advisory recruitment
Duties:Provide advice and guidance to nominated business areas on regulatory matters and to deal with day to day queriesBe aware of local Compliance and regulatory requirements and Group Compliance policies and endeavour to ensure compliance therewith by nominated business areasInteract pro-actively with management and staff of nominated business areas to know the business and identify regulatory risk and escalate issues to managementPeriodically undertake Compliance risk assessment of nominated business areas and assist with or lead, as required, Compliance reviews of different aspects of business Read more […]
Compliance Officer – Monitoring and Surveillance EMEA recruitment
The role holder will be responsible for monitoring compliance with the following key compliance risks – Market Abuse / Manipulation, Fair Dealings with Customers and Conflicts with a view to ensuring there has been no abuse of sensitive UBS information or UBS’s clients, that internal policies are complied with and helping to safeguard UBS’s reputation against legal and regulatory risks. Responsibilities include:Conduct and document monitoring reviews to assess compliance with and adherence to regulations and internal e-communication policies. Follow established global policies, procedures Read more […]
**Compliance Officer** ASSET MANAGEMENT recruitment
• This is a challenging and rewarding opportunity for an individual who has experience of working at a Senior level within Compliance within the financial services sector.• You will have sole accountability for the UK compliance function reporting to the Head of Compliance who is based overseas. The office is expanding and the business growing so this has excellent growth potential.• You will ensure that the compliance and regulatory framework is robust and adapt the processes internally to accommodate any changes in regulation.• Act as CF11 for London office• Devise a robust monitoring Read more […]
Training and Competence Manager recruitment
This well established Life and Investment firm are seeking a Training and Competence Manager to join their Compliance and Governance function.Working closely with the Learning and Development function, you will be responsible for ensuring the firm adheres to external regulatory requirements and internal training and competence schemes. You will identify training opportunities to ensure staff obtain and maintain relevant skills and experience to achieve personal and professional goals whilst maintaining competence levels and an appropriate knowledge of and adherence to FSA requirements.The right Read more […]
Head of Anti Money Laundering recruitment
The role will involve delivering an effective framework for each division which is in line with the FSA regulations. The role will involve maintaining relationships with regulators and senior management delivering the AML solutions.Key skills must include:- Extensive background in the implementation of Anti money Laundering strategies and policy.- Prior work as the Group MLRO.- Comprehensive knowledge of UK, European, US and Global Law regulations.A background within Financial Services or large Blue chip organisations is a must. Read more […]
Regulatory Risk Analyst recruitment
To assist in the creation, development and completion of the Regulatory Risk management frameworkKey responsibilities of the Analyst will include:Monitoring- Conduct regular monitoring reviews in accordance with Compliance monitoring programme- Liaise with departments on review action pointsReporting- Assist with ,and input to, production of reports for Key Indicators for Compliance Committee – Assist with ,and input to, the production of board reportsAnalysis- Analyse breaches and regulatory incidents, conduct follow up work and root cause analysis- Assist with preparation of Key Risk Indicator Read more […]
Group Legal & Compliance Assurance Manager recruitment
£Excellent packageRef: PJ/PA/01Group Legal Compliance Assurance 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 will be to support planning of conformance reviews in addition to executing conformance reviews Read more […]
Employment Lawyer – EMEA Group recruitment
Responsibilities will include:Provide contentious and non-contentious specialist employment law advice and support to HR and business clients on all UK employment matters.Where appropriate, instruct external counsel on UK employment matters and oversee management of firm including their advice and costs.Manage advice on employment issues in other EMEA offices and oversee management of external counsel across EMEA including their advice and costs.In consultation with EMEA Employee Relations, develop and keep under review standard documents and processes across EMEA.Provide education and training Read more […]