Compliance Advisory Officer recruitment
A fantastic opportunity has arisen for a compliance advisory officer to work for a top tier investment bank. You will be reporting to the Head of FI Sales, Trading and Origination Compliance Advisory, assisting in the coverage of credit and rates and providing primary coverage for Corporate and Institutional sales. Responsibilities include: Advising and providing guidance on various rules and regulations affecting the business (on particular deals, rule changes etc.) Providing Compliance Training. Co-ordination of regulatory audits and inspections. Registration of relevant staff with the FSA. Responding Read more […]
Equities Derivatives Compliance – Sales and Trading Advisory recruitment
If you want to truly get to the top of where your career can take you, you probably need to challenge yourself by not just working for one of the best investment banks in the world but also by working for the best in their field alongside positive, like-minded colleagues. More than that, you need opportunities to stretch and develop your market and product knowledge by working with business teams that are genuine innovators and who create new client solutions to satisfy demand.This opportunity ticks a great many boxes: the equities advisory team is one of the largest and most experienced in the Read more […]
Compliance Officer needed at European Investment bank recruitment
This CIB seeks a new Compliance Officer to perform a support and advisory role two a number of different business units within bank. This is a comprehensive role that would involve the successful candidate in a broad range of compliance and business activity interacting with a number of business managers, senior compliance figures and sales teams.As a compliance officer, your responsibilities will include:Advisory role to front office sales covering for example, corporate finance, funds, fixed income and FXAssist with and support the Compliance function through review and escalating of critical Read more […]
Compliance Officer – Lloyd’s of London recruitment
This top UK Lloyd’s of London Insurer are seeking a Compliance professional to join their existing Compliance function.You will be a key member of a small team which covers Compliance and Regulatory requirements across the Lloyd’s and European Company market company. You will ensure policies, procedures and business standards relating to Compliance and Regulatory conduct are effective and compliant with the changing regulatory environment. You will provide advice, guidance and training to the business in regards to regulatory requirements and internal policies. The identifying of upcoming Compliance Read more […]
Business Analyst – Compliance Change recruitment
Business Analyst – Group Compliance Change – LondonMy client, a global banking group, is seeking a business analyst to join their team in London on a permanent basis. The successful candidate will be expected to define and ensure the continuity of the functional, non-functional requirements and processes as part of the overall definition of Regulatory, Compliance and Legal solutions to support business needs, testing and objectives.Responsibilities:• Translate business objectives into requirement documentation to support the aims of the project• Support the analysis of requirements and Read more […]
Compliance – Enhanced Due Diligence recruitment
We would welcome suitable candidates from the following backgrounds:• Wholesale/Wealth Management compliance departments;• Regulatory consulting units of the Big Four Professional Services firms; • Regulatory practices of City Law firms; • Firms specialising in client Due Diligence investigations ; and• Industry regulatorsAdditionally any candidate who had knowledge of written or spoken Arabic would be of particular interestPosition description, responsibilities and reporting linesUK Financial Crime Compliance supports RBC Capital Markets and International Wealth businesses to manage Read more […]
Legal & Compliance Legal Billing Unit & Matter Management Support Analyst – Clerical – based in London recruitment
Legal ComplianceLegal Billing Unit and Matter Management Support AnalystThe Legal Compliance (“LC”) Department of JPMorganChase Co is responsible for the provision of legal and compliance services to the Corporation, and includes the Office of the Secretary. The Office of the Secretary provides for effective governance of the Firm, serves as a central repository of legal, regulatory, and shareholder data, and supports the ethical conduct of business through the Code of Conduct.Structure: LC is organized around Practice Groups that largely conform to the organization of the Firm’s Lines of Business Read more […]
Chief Compliance Officer (CCO) | Investment&Corporate Bank recruitment
The role reports into the Head of compliance for financial services block (CIB, WM, PB), as well as reporting locally to the CEO UK / Head of Research, MD.Your Profile: Degree level education (exposed to legal side), adequate qualification certificates (CF10 Compliance Oversight CF11 Money Laundering Reporting is a must) Experience in compliance in a financial services firm that has international presence (likely to have 7 years experience) Familiarity with all business lines operating in UK entity (Institutional Sales Trading, Investment Banking, Asset Management), basic knowledge of specifics Read more […]
Compliance Reviews recruitment
Global Investment Bank is looking for a Compliance Reviews person to join their London team.Overview:The role is to support the firm’s identification and mitigation of compliance risk across the Equities, Fixed Income, Derivatives and Investment Banking businesses in the EMEA region through the delivery of a Compliance Review Programme. Review work will focus on compliance with all relevant regulatory requirements and internal policies and procedures. Responsibility will focus on the following areas:• Delivery of a robust risk based testing programme • Assessment and identification Read more […]
Compliance Monitoring – Brokerage recruitment
One of the worlds leading brokerages require a compliance professional to assist in the development of their Compliance Monitoring programme. This is an excellent opportunity for an experienced compliance professional to join a well respected and established business.The successful applicant will have the following responsibilities:• Developing the monitoring programme• Perform both desk based and thematic reviews• Investigate regulatory concerns on an ad-hoc basis, escalating issues where necessary.• Produce monitoring reports and make recommendations to the business, ensuring actions Read more […]