Control Room Manager recruitment
Essential Good knowledge of the FSA rules (including MIFID)Excellent knowledge of conflicts management issues gained from working in a FSA regulated bank or broker.Knowledge of cross-border transactions and/or European Regulations.Knowledge/exposure to at least 3 of the following products: Credit/rates (cash/derivs)Foreign exchange (spot/forwards/options)Equity (UK European)Financing transactions (repos/reverse repos, stock lending/narrowing)Corporate banking activitiesResearchAbility to communicate with FO personnel regarding comp obligationsHighly developed written oral communication skillsBasic Read more […]
**Compliance Administrator** recruitment
Supporting the Head of Compliance you will be responsible for a variety of tasks including:compiling the annual compliance plan, ensuring all regulatory risks are idenifitied, and communicting this to senior management.Coordinating the monthly MI pack for the Head of ComplianceIdentifying regulatory changes and the impact on the business, communicating this to the wider Compliance team.Responsibility for coordinating training manual and communicating to the business.This is a varied for a reputable Investment Bank for an individual with banking and compliance experience, looking to develop themselves Read more […]
Senior Manager – Uk Distribution recruitment
Overview of Key Duties:To work with UK Distribution, Group Compliance and Internal Audit to provide reasonable assurance of Distribution’s compliance with its regulatory obligations and the effectiveness of the control environment. For the purposes of this role summary, “Distribution” includes the activities of the following departments; UK Institutional Sales, UK Intermediary, Product Development, UK Marketing (including material generated by them and material created outside the UK for distribution in the UK), Client Services, SPML, SIL, SUTL and Corporate Communication. In addition covers Read more […]
Compliance Consultant (Investment Bank/Inter Dealer Broker experience) recruitment
Our Regulatory Compliance Consulting business is dedicated to providing compliance advisory services to our diverse client base and as part of our growth plans we are looking to add a sell-side compliance specialist to our team. This experience is likely to have been gained in an Investment Banking or Inter Dealer Broker environment.Key Responsibilities: • Provide clients with responsive regulatory advice and solutions• Update clients on regulatory change and how it impacts their business• Draft manuals and other compliance documentation for clients• Set up relevant compliance infrastructure Read more […]
Derivatives Lawyer recruitment
Company Overview Schroders is a global asset management company with £182.2 billion under management as at 30 September 2011. Our clients are major financial institutions including pension funds, banks and insurance companies, local and public authorities, governments, charities, high net worth individuals and retail investors.We apply our specialist asset management skills in serving the needs of our clients worldwide. With one of the largest networks of offices of any dedicated asset management company, we employ over 2,500 people globally, 1,500 of whom are based in London.With over 300 portfolio Read more […]
Regional Compliance Adviser recruitment
Close Brothers Group is listed on the London Stock Exchange in 1984 and today ranks among the top 250 listed companies in the UK.Close Asset Management provides financial services to private individuals, institutional clients and their advisers, employers and intermediaries such as IFAs and offers a wide range of investment management, trust, banking, advisory, educational and administrative services across the UK.Close AM are currently recruiting for an experienced Regional Compliance Adviser to be the Compliance lead in respect of a designated region of CAM’s advisory business. To provide ongoing Read more […]
Head of Compliance (Hedge Fund) recruitment
Reporting into the global CCO, the successful candidate will be registered as CF10 11 and take overall responsibility for compliance across the London operation. The successful candidate will also be called upon to provide compliance oversight and advice to the Hong Kong office.Candidates should be able to demonstrate a significant track record in compliance. Current or recent registration as 10 11 would be preferred.Whilst compliance experience gained in a hedge fund environment would be preferred, the client will also consider candidates with applicable experience from an asset management Read more […]
Lawyer – Privacy Specialist EMEA recruitment
Responsibility will include:• Support and create (as necessary) Privacy Program in EMEA • Liaise with Regional/local business leaders regarding Privacy Office initiatives, new tools and new laws • Create regional privacy strategies which support growth• Enhance and support country data manager network. • Support development of new service offerings and products from a data privacy perspective.• Interpret, apply and ensure compliance with European privacy laws as well as serve as Regional contact for all Data Protection Authorities.You will need:• Solid knowledge of EMEA data Read more […]
Head of KYC Remediation recruitment
The role will be responsible for the delivery of high standards of client service, at the same time ensuring that all internal Risk and external Compliance standards requirements are met in full, utilising a combination of onshore and offshore resource managed as a single team. This will involve creating and managing the global remediation team.Some of the responsibilities within the role will include• Creating the remediation team within KYC Services• Creating and managing remediation team with KYC Services, through a mixture of onshore and offshore resources• Develop an approach to Read more […]
Compliance Officer (part-time) recruitment
Responsibilities include (but are not limited to):Regulatory Compliance• Ensure that the firm remains compliant with all applicable UK US regulations and codes of conduct• Keep senior management aware of their regulatory responsibilities, changes to rules and current practice• Develop and update Code of Ethics, Compliance Manual and internal procedures as required• Conduct due diligence on new customers and counterparties• Review all legal documentation (new IMAs, Funds Prospectuses, SLAs, etc)• Provide advice and guidance to the business on regulatory legal issues• Provide Read more […]