IN-HOUSE – REGULATORY/CLEARING – LONDON recruitment
Excellent, high profile role for a regulatory/derivatives lawyer with a global powerhouse. This opportunity offers high levels of responsibility in the shaping and development of our client’s clearing business proposition. You will have a wide remit across all aspects of this business, including the creation of the key documents governing the business. You will be a qualified lawyer with excellent academics, and your experience will include a good understanding of derivatives master documentation, security issues, and the developing regulatory landscape in this area. Please note our advertisements Read more […]
Interim Head of Compliance recruitment
A boutique investment bank is currently looking to recruit an interim Head of Compliance to be based in the London office. Although initially a temporary position, there is a possibility that this role could be made permanent for the individual. Reporting to Senior Management, you will be involved in providing internal training on legal and regulatory topics, compliance policies and procedures, compliance monitoring programmes, rolling business reviews, and AML compliance. The successful candidate will hold the CF10 function for the bank. You will be a compliance professional with at least 5 years Read more […]
Compliance / Money Laundering Officer recruitment
The ideal applicant will have several years’ compliance monitoring experience within a FSA regulated firm, along with solid MLRO knowledge, and, held the positions of CF10/CF11.Key Responsibilities include:Liaising with FSA and other regulators; interacting with Equity Sales Traders re all compliance issues; risk based monitoring; records maintenance as per regulator requirements and co-ordinating with overseas Compliance Officers re cross border transactions. The successful candidate will have: • A proven track record in compliance gained within Compliance Consultancy, Asset / Investment Read more […]
Compliance Outsourcing Specialist – Investment Management recruitment
A broad compliance role working with the Senior Compliance Manager providing advisory support to the business and on the planning and implementation of an effective risk based compliance monitoring programme : covering outsourcing relationships with the providers of services to the fund companies This would be an ideal role for someone with good investment management experience that is looking for a growth opportunity in particular with regard to planning and organisation of outsourcing relationships from a compliance perspective. Duties and Responsibilities Conducting ongoing and periodic regulatory Read more […]
B7 – Portfolio Director, Legal & Compliance recruitment
This is a senior position allowing for the successful applicant to engage with stakeholders across all business units globally. As Director, your responsibilities will include: Manage a portfolio of regulatory project and programme deliverables, managing the co-ordination and delivery against plan and budget, and supporting Senior Executives. Oversee a portfolio of high profile regulatory change programmes that are being run across the bank within multiple geographies and business areas, ensuring that internal and external regulatory change requirements are met. Monitor progress to ensure change Read more […]
Compliance Officer, AML & Financial Crime recruitment
Working closely with the MLRO and Deputy MLRO you will assist in all aspects of AML / Financial Crime.Duties include:Review the adequacy of Customer Due Diligence (CDD), Know Your Customer (KYC), Know Your Business (KYB)Provide the business with advice and guidance on all relevant regulatory obligations Assist line management to ensure that the firm establishes and maintains appropriate, policies, procedures, systems and controls to meet its regulatory obligations and requirementsProvide support to line management in its liaison with regulators, auditors (internal external) other group companies Read more […]
Employment Lawyer recruitment
This role is offered on a fixed contract basis for 12months with the opportunity to extend upon completion of the 12month period.Duties and responsibilities will include : Providing advice and counsel to management and Human Resource professionals on a broad range of employment issues including: recruiting; hiring; employee relations; discipline and terminations; internal investigations; employee tribunals, employee privacy matters and works councils. The responsibilities will include preparing and conducting employment law training programs for HR and management, formulating and revising Read more […]
Control Room Analyst recruitment
A Passion to Perform. It’s what drives us. More than a claim, this describes the way we do business. We’re committed to being the best financial services provider in the world, balancing passion with precision to deliver superior solutions for our clients. This is made possible by our people: agile minds, able to see beyond the obvious and act effectively in an ever-changing global business landscape. As you’ll discover, our culture supports this. Diverse, international and shaped by a variety of different perspectives, we’re driven by a shared sense of purpose. At every level agile thinking Read more […]
Quality Assurance- Compliance recruitment
I am looking for an experienced Senior Quality Assurance Specialist to join one of our top clients in London. The role will require you to come on board and help them with a new project within their business. This position is to monitor and quality assure original assessment of sales file already undertaken as part of a wider review by our client.Requirements for the role:A broad understand of compliance within a financial institution.Understanding of the FSA and the rules/regulations in place, specificallyas to how these apply to investments and derivatives for a retail customerbase.Understanding Read more […]
Senior Compliance Manager – Transaction Banking recruitment
Senior Compliance Manager required by a leading bank in London to manage their Transaction Banking division.You will provide compliance advisory services to the Transaction Banking business unit so will need a detailed understanding of Transaction Banking products and services, the regulatory expectations relating to them, and the ability to work closely with the business unit to provide commercially sensitive solutions to regulatory issues.As the Compliance business partner for Transaction Banking, you will also be expected to provide the link into the core central compliance teams (including Read more […]