Guideline Monitoring Compliance Manager recruitment
You will be responsible for guideline monitoring of Charles River alerts and warnings and give regulatory guidance to the business. You will also maintain restricted lists and commence periodic reviews.In order to be successful in this role, you will have previous Asset Management experience and an IMC or IAQ qualification. Charles River and Bloomberg experience is essential, as well as a solid understanding of TCF, statutory notifications, FSA and SEC rules. Firm product knowledge (derivatives) would be advantageous and you should be aware of all relevant regulatory issues.If you would like to Read more […]
Senior Legal Counsel recruitment
THE COMPANYState Street Corporation (NYSE: STT), is the world’s leading provider of financial services to institutional investors, to which it provides: custody and management of their assets; accounting, daily pricing, and administration of their funds; the information and analytical tools that help them make investment decisions; and the foreign exchange, cash management, credit and electronic trading services that help them negotiate complex, global financial markets efficiently and effectively. Founded as a bank in 1792 in Boston, Massachusetts, State Street had $21.8 trillion in assets under Read more […]
Associate Director- Project Manager recruitment
Project Manager – Compliance – Financial ServicesOur client a leading financial services organisation based London are currently looking for a Project Manager to ensure timely and compliant delivery of all Regulatory and Key change projects across the business.The successful Project Manager must have a financial services background and recent compliance experience along with stakeholder management ideally from a consulting background with knowledge on IT Functions. Main responsibilities:- To ensure full visibility of regulatory and key business change, and to ensure all change is compliant and Read more […]
Compliance Officer – Capital Markets Advisory recruitment
Global banking organisation is looking for a Compliance Officer for their Markets Advisory team.The role will support cross product teams along with being involved with/manage projects for the business.Duties include but not limited to:Support primary contact for nominated business areas in the main comprising Corporates Markets businessUndertake or assist with ad hoc project work, providing analysis and making recommendations, as required or directed.Assist other members of the Compliance Department in carrying out project work and to deal with day to day queries as required.Be aware of local Read more […]
Compliance & Company Secretarial Assistant recruitment
This well known Global Speciality Insurer are seeking a Compliance and Company Secretarial Assistant to join their growing team.Compliance / Regulatory:Within this role you will work across the business which includes a Lloyd’s syndicate, UK and European Operations. You will play a key role in regards to providing advice and guidance in regards to Compliance and Regulatory issues. You will also play a key role in ensuring all relevant rules, regulations, policies and laws and embedded and followed within the business. As well as, supporting the delivery of the Annual Compliance Plan and assisting Read more […]
Compliance Officer – Proprietary Trading recruitment
This senior role requires particularly solid experience of FSA and U.S. regulations on securities trading. You’ll provide an important compliance nexus and interface with trading, operations, the overseas based compliance main office and have the ability to manage regulatory relationships and develop policy as well as support the different business areas with real time advice on trading issues.
Fixed Income and Commodities Compliance Manager recruitment
The Fixed Income, Currencies and Commodities Group (FICC) is involved in a broad range of financial markets trading activities. Its services range from 24-hour trading in most currencies and commodities to acquiring assets, (either companies, physical trading assets or derivative portfolios). In the EMEA region, FICC’s major business activities are: Commodities (base and precious metals, oil, gas, power, coal, agricultural commodities, freight and environmental products), Futures (listed derivatives) execution and clearing, emerging markets (Bonds, Repos, FX) and debt arrangements. In selected Read more […]
Compliance Front Office Advisory recruitment
This is position is within the Compliance advisory functionA full specification is available from Fergus Hooley , however key responsibilities will include : *Provision of a qualitative compliance advice and support to Multi-Asset Client Solutions division*Working on new productions initatives*Liasion with Portfolio Managers*Reviewing Client communications and/or Financial PromotionsYou should have strong communication skills , and knowledge of either Compliance from a Funds perspective , or alternatively Front Compliance issues from other sectorsFor a full briefing please call Fergus Hooley Read more […]
Financial Crime Sanctions Manager recruitment
Our client, a global financial institution is looking for a Financial Crime Sanctions manager to join their AML department and provide advice and guidance to the business and other departments to mitigate regulatory risks and facilitate the compliance culture.Duties Include: • Responsible for sanctions in relation to the firm covering various business divisions • Provide advice and support to AML advisory teams in the relevant businesses divisions on UN/EU/UK/US sanctions regimes, including advice regarding alerts produced by payment and client screening systems. • Maintain responsibility Read more […]
Head Compliance Monitoring & Reporting recruitment
This top Global Insurance Broker are seeking a Head of Compliance Monitoring and Reporting to lead their expanding Monitoring department.This role will run a high profile team and provide leadership to the Monitoring and Reporting team while also reporting directly in to committee level. You will be responsible for developing and maintaining the approach, as well as, the methodology of the team and approach to Monitoring. In addition, you will be responsible for producing the annual Compliance Monitoring plan and overseeing all Compliance Monitoring / Assurance activities. You will hold responsibility Read more […]