Large Holdings Advisory Compliance Officer recruitment
Large Holdings Advisory Compliance Officer / Contract / £ExcellentThis role is based at a large investment bank and is within the team responsible for the provision of regulatory advice to all areas of the business and my client is looking for somebody to be an advisory Compliance Officer for all EMEA Large Holding issues. This opportunity offers exposure to key Stakeholders and the FO but also offers high variability in day to day tasks.Responsibilities• Establishing global Large Holdings protocols, procedures and early warning systems• Providing advise on the impact of financial instrument Read more […]
Compliance Officer recruitment
The US parent company operate as a full-service investment bank, however the intention is that the London entity will initially be authorised to operate as matched principal broker with a focus on a range of Fixed Income and Equity instruments.This is an interesting and varied role with core responsibilities including (but not limited to):• Maintaining and updating the compliance manual and procedures/registers• Update compliance procedures and ensure that regular monitoring is carried out• Ensure that the firm has thorough KYC/AML procedures that are effectively carried out• Look after Read more […]
Senior Consultant – oil and gas sector recruitment
The ideal candidate will have knowledge in issues relating to the development of market arrangements for gas and electricity trading, energy policy formation and analysis and regulation of utilities, network businesses and industry codes. Successful applicants will also be highly numerate with a mathematic or economic based degree and have experience in nurturing client relationships.This role represents an exciting opportunity to enhance your career alongside a dynamic and enthusiastic team of the world’s leading consultants in energy policy and regulation. To pursue this offer then apply now Read more […]
Legal & Compliance – European Energy Commodities Lawyer, EMEA Commodities Legal Team – VP – Based in London recruitment
Purpose of role:Primary point of contact for Continental European Energy Commodities related business with a focus on the Mediterranean market and beyond (Austria/Switzerland); as well as LNGNegotiating physical/financial energy agreements both plain vanilla and structured (power, gas and coal);eview of credit support documents, service agreements, confidentiality agreements, exchange member agreements, netting legal opinions in particular but not limited to Spain, Portugal and Italy;Dealing with Authorities and Grid OperatorsAssisting in Primary Investment OpportunitiesAbout JPMorgan Chase Co.JPMorgan Read more […]
Head of European Compliance recruitment
We seek a bright, ambitious compliance officer with a strong academic background, solid regulatory experience and a practical, constructive approach. The candidate will have experience with compliance monitoring, periodic filing requirements, transaction reporting, and other regulatory responsibilities. Experience at the FSA or as a solicitor is highly preferred. Job Requirements: – Work closely with senior management to design a comprehensive compliance program – Lead the firm’s registration process with the FSA – Advise on all aspects of MiFID and MiFID II, the Read more […]
Legal Counsel recruitment
Essential•Contract Commercial law•Experience of broad range of commercial transactions, e.g. alliances, co-branding agreements, marketing arrangements, joint ventures•Law and legal issues arising from non disclosure agreements •Law, legal issues and contracts relating to the procurement of products and services•Law and legal issues arising from joint ventures, alliancesPreferred•Experience of regulatory work.•Understanding, knowledge and experience of retail Banking•Knowledge of financial services related to credit cards and procurement (e.g. market data contracts)•Law Read more […]
Data Protection Co-Ordinator recruitment
The successful candidate will be required to advise the business on the impact of new laws and regulations, challenging and advising the business on the application of data protection policies, and continually reviewing the data protection compliance framework. As such, candidates should have prior experience gained in data protection compliance, as well as project management experience and strong communication skills. This is an excellent opportunity to join an established business within an interesting area of compliance. Read more […]
Compliance Manager – Up to 12 month FTC recruitment
Purpose of Position The purpose of the role is to provide advice and guidance to a specific business unit within BNP Paribas Securities Services. This includes the provision of advice, guidance and training on all regulatory matters (FSA and other regulators as appropriate) as well as undertaking compliance monitoring. Purpose of Department The Compliance Department exists to provide advice, guidance and support on all regulatory matters which affect Securities Services within offices maintained in London, Peterborough, Glasgow and Dundee. The Compliance department is responsible for ensuring Read more […]
Financial Promotions Compliance Officer recruitment
The role will include;oMaintaining an effective financial promotions process for the review, approval and record keeping of all product literature and customer communicationsoReviewing financial promotions and customer facing documents to ensure that they adhere to the relevant regulations and procedures. Providing guidance and support to ensure that best practice is embedded within the businessoActing as the first line contact within for matters relating to financial promotions and customer communicationsEssential qualificationsA graduate with relevant financial services qualification.Essential Read more […]
Compliance Officer – Private Wealth Management recruitment
Job Description Providing advice and support to business projects and issues requiring compliance inputManaging compliance-led projectsProviding review and sign-off of marketing materials prepared for distribution to clients / prospectsReviewing and approving client account and trade activity from an Anti-money laundering and a suitability perspectiveProviding support for / responding to general compliance-related queriesDevelopment and implementation of compliance-related policies and proceduresImpact analysis and implementation of regulatory changes affecting the PWM businessTrade Read more […]