IN-HOUSE – CASS (CLIENT ASSETS), DIRECTOR-LEVEL
Unusual new Director-level position with a leading financial institution, leading a project focusing on CASS compliance issues. The role will involve you taking responsibility for the project and leading a small team in the design and execution of the project, and on-going management of issues that emanate from the project and related matters. The role will involve you managing relationships with key stakeholders across the business. You will be a qualified lawyer with significant financial services experience that includes strong exposure to the FCA’s CASS rules, and knowledge/experience of issues Read more […]
Fixed Income Advisory VP
Advice and InterpretationProvide oral and written general compliance and transactional advice to the Fixed Income and Global Capital Markets Divisions on compliance policies and procedures and relevant UK laws, rules and regulations. Participate in the New Product Approval process for relevant business areas, providing compliance advice and sign off on transactions.Business Engagement Engage with senior business management across the Fixed Income Divisions providing them with regulatory advice, appropriate management information and compliance support with respect to the regulatory aspects of Read more […]
ANALYSTE FINANCIER
OSEO, une mission qui a du sensOSEO accompagne et finance les entreprises dans leurs projets de croissance avec une ambition nationale de premier plan : contribuer à faire de la France un grand pays d’innovation et d’entrepreneurs.Pour réussir cette mission, OSEO a déployé sur le terrain un modèle unique d’organisation en réseau qui fait notre force : 37 équipes régionales de culture mixte scientifiques et financières, connectées au siège, accompagnent les entreprises dans les phases clés de leurs projets, de leur création à leur transmission. Chaque jour, elles construisent Read more […]
Chargé(e) de conformité (H/F)
Votre mission : Au sein d’une équipe de cinq personnes, vous travaillez en étroite relation avec les différents Compliance officers et vous vous assurez du respect de la conformité des activités et de la mise en œuvre des contrôles. A ce titre ; Vous assistez les équipes dans le contrôle et la mise en conformité des activités de marchés ;Vous suivez la mise en place et l’application des règlements et recommandations émis par les autorités de tutelles, les auditeurs interne et la Compliance groupe ;Vous participez aux missions de contrôles et aux revues de conformité : Read more […]
Oversight and Control Director
The Investment Operations team plays a key role in the continued success of BlackRock including supporting the continued business growth, managing the control environment and reducing risk, increasing efficiencies and strengthening relationships with our internal and external clients.The global team is responsible for the middle office and operations functions supporting BlackRock’s business across all products and funds which trade a variety of derivatives. These cover all asset classes including credit, rates, inflation, and equity derivatives. Products traded include IRS, Swaptions, CDS, Index, Read more […]
Senior Lawyer,Global Sourcing and Technology
8yrs PQE Experienced in IT Law Be part of the Super Regional Growth Strategy As one of the global leaders in banking and financial services, ANZ realises that our greatest asset is our people. That is why we are creating a unique climate of inspiration, leadership, values and opportunity.We’re exploring new and better ways to progress the business with energy and enthusiasm. Backed by a proud and established heritage, we’re on a journey creating a super regional. Connected by integrity and clarity of strategy, there is a real sense of excitement about the future. The possibilities are endless.Reporting Read more […]
Equities / ECM Compliance Officer
Position Description 1. Job overview:As a senior member of the EMEA Equities Compliance team, the focus of this role will be providing advisory services to Equities and ECM business units in EMEA. The specific desk focus of this role will be tailored according to the experience of the candidate. Morgan Stanley has leading franchises both globally and in EMEA in Equities and ECM. The EMEA business comprises approximately 850 Sales Trading employees and is based at its regional headquarters in Canary Wharf, London.2. Principal duties: (a) Advisory services: providing advice to the business unit Read more […]
Investment/Transactional Banking Compliance Manager
Assist in review of the regulatory requirements of the Central Bank UAE and other regulatory authorities to ensure that these are incorporated into the bank’s policies and procedures.Assist in setting up the monitoring programs to monitor transactions and interface with different counterpart (mainly Sanctions AML Teams) to obtain needed information.Assist with reviews of new initiatives projects by conducting research and providing data as directed.Work with internal groups to ensure consistent understanding of requirements.Apply a Risk Based Approach to appropriate due diligence to ensure that Read more […]
Compliance Associate,Sr Assc
Our CompanyState Street Corporation (NYSE: STT) is the world’s leading provider of financial services to institutional investors including investment servicing, investment management and investment research and trading. With $25.42 trillion in assets under custody and administration and $2.18 trillion in assets under management at March 31, 2013, State Street operates globally in more than 100 geographic markets and employs 29,460 worldwide. For more information, visit State Street’s website at www.statestreet.com.Promoting a culture of excellenceWith more than 29,460 employees across 29 countries, Read more […]
Audit Manager
This is an excellent opportunity that will allow you to work closely with a highly regarded team of Financial Crime specialists who have built a strong reputation within the business and can offer you the scope to learn and progress your career.You will be responsible for providing high quality audit expertise and skills specifically in regards to Sanctions and Financial Crime risk. You will be involved with a portfolio of audits which are complex and cross divisional, helping test internal controls, agreeing control improvement and providing independent assurance in order to enhance the control Read more […]