Compliance – Markets Compliance Officer
This is made possible by our people: agile minds, able to see beyond the obvious and act effectively in an ever-changing global business landscape. As you’ll discover, our culture supports this. Diverse, international and shaped by a variety of different perspectives, we’re driven by a shared sense of purpose. At every level agile thinking is nurtured. And at every level agile minds are rewarded with competitive pay, support and opportunities to excel.This position will involve all aspects of compliance support for an institutional markets business, incorporating listed product sales and trading, Read more […]
In-house Counsel
A leading player in the shadow banking system that have experienced massive growth over the last few years is looking to hire a 2-3 year PQE lawyer to join their successful legal team.The business has grown to over 65 people in under 5 years and is now looking to move to its next stage of growth with international expansion in USA and Asia. Business lines include hedge fund, investment management, structured products, stock loan, sub custodian and institutional brokerage. The niches within the business have all proved to be extremely successful and the business has established a very strong reputation Read more […]
Regulatory Compliance Manager for CASS / CAM
Trading International Banking, CASS Logistics ComplianceYou should have an excellent understanding of the FSA CASS rules and implementation. A process expert, you should be able to translate concepts into highly effective processes and be able to liaise confidently with Regulators, the Business, Risk IT.KEY RESPONSIBILITIES:Provide specialist advice for CASS / CAM Compliance Monitoring and new products to achieve consistency across the business and create a strong “CASS culture.”Ensure that policies procedures for compliance monitoring reg implementation is up-to-date and appropriate.Conduct Read more […]
Anti-Fraud Analyst – Top Tier Bank
The successful candidate will be hands on in terms of dealing with External Regulators / Authorities and dealing with Anti – Fraud units and Anti – Financial Crime units. There will also be exposure to Monitoring Reporting, KYC and its due diligence. This is an excellent opportunity for an ambitious professional to progress their career in one of the GCC`S leading Compliance teams. There will be a competitive package on offer for the successful candidate.
Senior Compliance Officer Job
Senior Compliance Officer (Job Number: 1309043)DescriptionThe Senior Compliance Officer will work with the CCO to manage all aspects of the firm s investment advisory compliance program. He/she will assist in the oversight of all aspects of an investment advisory compliance program, including: assessing inherent risks and conflicts of interests; developing and implementing policies and procedures reasonably designed to prevent violations of federal securities laws and to address risks and conflicts of interest; developing and implementing transactional, periodic, and forensic testing programs to Read more […]
Know Your Customer (KYC) Analyst
A Passion to Perform. It’s what drives us. More than a claim, this describes the way we do business. We’re committed to being the best financial services provider in the world, balancing passion with precision to deliver superior solutions for our clients. This is made possible by our people: agile minds, able to see beyond the obvious and act effectively in an ever-changing global business landscape. As you’ll discover, our culture supports this. Diverse, international and shaped by a variety of different perspectives, we’re driven by a shared sense of purpose. At every level Read more […]
Insolvency Administrator
This global accountancy practice are seeking an experienced Insolvency Administrator to manage a portfolio of corporate appointments of a complex and international nature in their London office. You will be responsible for case management and compliance issues in which you will be reviewing and amending witness statements, investigating the investigation of misconduct by company directors, managing international asset tracing and recovery, planning and controlling trading operations, preparing and reviewing cash flows and contributing heavily to the departments marketing efforts. Other responsibilities Read more […]
Compliance TK, Control Group, Associate / Manager
Position Description Within Morgan Stanley, the Control Group in the Compliance Department is focused on maintaining the Chinese Wall and implementing Compliance policies and procedures for research and investment banking. The Control Group would utilize global policies, procedures and databases to provide seamless coverage for the Firm and conduct surveillance functions on Employees and Firm’s trading activities to identify any potential insider trading. Globally there are four Control Group locations including New York, London, Hong Kong and Tokyo. Within each Control Group there are (i) Sales Read more […]
Global Compliance Analyst
Responsible for assisting with a variety of activities related to the compliance function in an effort to ensure compliance with regulatory requirements, operating policies, and fund/client imposed investment limitations The position job holder will assists in the preparation and filing of regulatory reports and related administrative responsibilities, and in the completion of fund and client account analyses KEY RESPONSIBILITIES Performs daily reviews of security positions held by mutual funds and separately managed accounts to ensure compliance with all regulatory requirements, operating policies, Read more […]
Senior Security Analyst
It’s a role where you’ll foster proactive and professional relationships as well as provide robust and challenging insight on business risk and the adequacy and effectiveness of the control processes in place.Business Services provides the services that keep RBS running, including Technology Services, Group Operations and Corporate Services. We put money in the ATMs, keep the Bank’s technology systems operating, maintain the branch network, protect our customers from fraud, process millions of pounds of payments across the world and provide call centre and online services. We’re also developing Read more […]