VP, Control Room recruitment
Department Overview Barclays Capital is the investment banking division of Barclays Bank PLC. With a distinctive business model, Barclays Capital provides large corporate, government and institutional clients with a full spectrum of solutions to their strategic advisory, financing and risk management needs. Barclays Capital has offices around the world, employs over 23,000 people and has the global reach, advisory services and distribution power to meet the needs of issuers and investors worldwide. For further information about Barclays Capital, please visit our website www.barclayscapital.com. Read more […]
Germany – Junior Investment Funds Lawyer recruitment
Profile: The candidate must be an investment funds junior lawyer fluent in German and English.Requirements: The succesful candidate must: Have obtained his law degree in GermanyHave from 1 to 3 years experience in a law firm or bank in Germany or Luxembourg as a lawyer specialist in the investment funds areaBe fluent in German and English. Fluency in French would be a major advantageBe eager to learn and be trained by senior professionalsbe proactive, reliable, motivated and a team workerExperience in Luxembourg and knowledge of the Luxembourg market is considered as a major advantageKeywords: Luxembourg, Read more […]
Senior Audit Director – Ratings Agency recruitment
This position reports to the Chief Compliance Officer and conducts analytical, functional and office audits as well as special reviews for the firm. Within this position, your key role will be to manage the auditors conducting compliance audits across the various credit ratings groups and Fitch offices. You will have the opportunity to work with the firm’s personnel at all levels and learn about the various aspects of the firm’s business. Responsibilities include:•Managing the planning, execution and reporting of compliance audits for the various credit rating groups and offices within Read more […]
Equities Trading Compliance Officer recruitment
Responsibilities:* Design and develop effective compliance procedures and controls in support of new and expanding trading activities* Draft, review, and refine documents that govern company policy and practice* Deal with the high volume of equities trades that can go through the hedge fund* Participate in audits and assist in the management of regulatory examinations Requirements: * 5 to 8 years of equities sales and trading compliance experience at a financial institution* Possess exceptional verbal and written communication skills* Strong understanding of systems used by investment advisors Read more […]
Compliance Analyst recruitment
Company OverviewBoston Trust Investment Management Company (Boston Trust) is a 100% employee owned firm that provides portfolio management services to individual and institutional clients. The firm manages more than $5 billion in client assets for institutional and high net worth investors. Boston Trust employs approximately fifty-five people and specializes in actively managed, high quality equity, fixed income and balanced portfolios. Walden Asset Management, a division of Boston Trust, is a leader in managing portfolios for clients whose overall investment objectives include environmental, Read more […]
Senior Compliance Offer, Email recruitment
Job ID: 12303Position Description: Senior Compliance Officer POSITION SUMMARY The Senior Compliance Officer is responsible for working with the Regulatory Compliance team to facilitate PIMCO’s Compliance Program. The candidate will be primarily responsible for managing and enhancing PIMCO’s Email Monitoring Program. The role may also be involved with compliance initiatives such as efforts to streamline the business for efficiency, enhanced control environment, and mitigate potential compliance risks. The candidate will work closely with teams and individuals across all functional areas within Read more […]
Junior Investment Funds Lawyer – based in Berlin, Germany recruitment
Profile: The candidate must be an investment funds junior lawyer fluent in German and English.Requirements: The succesful candidate must: Have obtained his law degree in GermanyHave from 1 to 3 years experience in a law firm or bank in Germany or Luxembourg as a lawyer specialist in the investment funds areaBe fluent in German and English. Fluency in French would be a major advantageBe eager to learn and be trained by senior professionalsbe proactive, reliable, motivated and a team workerExperience in Luxembourg and knowledge of the Luxembourg market is considered as a major advantageKeywords: Luxembourg, Read more […]
Sr. Regulatory Advisory Attorney recruitment
Product coverage includes fixed income (including government, agency and private issues), derivatives, equities, futures, sales and trading, repo financing, debt and equity capital markets, structured products, lending, bank regulatory, cross-border, Research, Information Barriers, and electronic trading. Our regulators include SEC, FINRA, CFTC. Position will also advise on regulatory developments, including Dodd Frank implementing rules, and other SEC, CFTC and SRO developments. The attorney will be an active participant in the new product process, will provide day to day advice and may Read more […]
Compliance Officer, Email & Testing recruitment
Job ID: 10450Position Description: [Compliance Officer/Associate] [POSITION SUMMARY] The Compliance Officer/Associate is responsible for working with the Regulatory Compliance team to facilitate PIMCO’s Compliance Program. The candidate will be primarily responsible for supporting PIMCO’s Email Monitoring and Forensic Testing Programs The role would also require working on compliance initiatives as well as support efforts to streamline the business for efficiency, enhanced control environment, and mitigate potential risks. The candidate will work closely with teams and individuals across Read more […]
AVP – Surveillance/Compliance recruitment
The primary function is to conduct surveillance against Employee, Customer and Proprietary Accounts to detect potential insider trading, market abuse, and/or violations of the Firm’s Trading Policies, as well as project-based work. Conduct daily surveillance of Proprietary, Customer and Employee’s trading activities to ensure compliance with the Firm’s Watch Restricted Lists, Front-running and Insider Trading policies.Perform research and investigations to identify the reason for potential violations.Document research results and escalate violations and/or suspicious activity Read more […]