Compliance manager
We are seeking a self motivated, experienced individual to join a team that supports the investment banking activities of the firm as well as managing the private side activities of all other business groups such as Fixed Income and Commodities Group, Corporate Asset and Finance Group and the Macquarie Infrastructure and Real Assets Group in order to manage potential conflicts.This role will also act as key control liaison between private and public side teams to ensure Macquarie fulfils its legal and regulatory obligations and avoids reputational damage. The role requires regular interaction Read more […]
KYC Programme Manager
KYC Programme Manager -London- Banking – £800-1000/day Our client, a Tier 1 Investment Bank, are looking for a KYC Programme Manager to work in their London office on a long-term contract basis. The successful KYC Programme Manager will have the following: Excellent overall knowledge of Client onboarding, KYC and associated processes within an investment bankAt least 4 years experience managing KYC/Client Onboarding projects within an investment bankProven track record in managing complex programmes including technology, process and business change through from inception to delivery in an international Read more […]
Compliance Officer
The PositionOur client, a global, award-winning private equity firm, is currently going through the next phase of it’s growth, and as such has a rare opportunity for a Compliance Officer to be based in the Channel Islands, at their Guernsey office. This role reports directly into the Head of Compliance, based in London. Your tasks in this role will include:Understanding Guernsey regulatory rules and ensuring Guernsey regulations are being followedMonitoring, completing checks and updating of regulatory task lists for Guernsey which lists on-going regulatory obligationsLiaising with global teams, Read more […]
Programme Manager / Management Consultant – Dodd Frank / EMIR
As a Programme Manager you will sit in a front office business change group, not responsible for delivery as such but rather for shaping, advising, mobilizing, initiating, advising and governing large pieces of work for the Dodd Frank / EMIR legislation implementation.Your role as a Project / Programme Manager within a front office business change group will involve giving presentations to senior management, challenging and/or gaining consensus across a conflicting agenda, and partnering with operations, risk, finance and technology to ensure effective delivery.The role is ideally suited to capital Read more […]
Senior Manager, Compliance
You will oversee the compliance functions of the Fiduciary and Corporate Services operations within Singapore and will have primary responsibility for ensuring that the Trust Corporate files are kept in compliance with the Trustee licensing requirements of the Monetary Authority of Singapore (MAS) and the internal group policies. Acting as the Money Laundering Reporting Officer, you will review, implement and maintain the Group’s compliance, AML and procedure manuals and internal forms to reflect any regulatory changes from time to time. You will keep the Senior Management up to date with Read more […]
Guideline Management Consultant – Sentinel
A top-tier Asset Manager is currently looking for a Guideline Management Control Consultant to join their team in London. The current team safeguard the fund management process by controlling and effectively mitigating portfolio risk. The successful candidate will be working on a newly established pre and post-trade guideline monitoring function.Responsibilities:Establishing procedures and protocols for pre and post-trade compliance oversight, initially for Fixed Income via the Sentinel compliance systemInterpretation of investment restrictions for Funds covering Fixed Income, Equity, Currency, Read more […]
Regulatory Consultant
This firmly established Asset Management firm is looking for a talented Regulatory Consultant to join them.As a Regulatory Consultant you will be joining an established team who have raised their profile internally in recent years and are now enjoying increased investment from the business.This well rounded role will see you provide regulatory consulting and technical assistance to the regulatory consulting managers and the business: this will include writing briefing papers and presenting regulatory developments to business managers, promote and continually maintain a culture of knowledge and Read more […]
Head, Program Management
SUMMARY The Head, Program Management oversees and guides the operational execution of the credentialing and certificate education program portfolio at CFA Institute and provides leadership for the Program Management Department. The Program Management Head will be responsible for partnering with all functional program Heads (e.g. curriculum, exam development) and other key internal stakeholders (marketing, IT, Industry Relations) to ensure all aspects of the strategy and annual workplan are being delivered across the programs. The Head will oversee the program pricing strategy (including scholarships), Read more […]
Regulatory Inquiries Group
Position Description Research, analyze and respond to regulatory inquiries from the US Securities and Exchange Commission (SEC), US Commodities and Futures Trading Commission (CFTC) and Self-Regulatory Organizations (SRO) relating to Federal laws and SRO/Exchange rule violations (e.g., ISE CBOE option rules, NYSE principal trading, insider trading, Regulation M, front-running, information barriers, etc.). Analyze complex trading data to distill the information into responses regarding trade executions/order handling. Interact directly with Business Unit personnel, sales traders/traders, technology Read more […]
Team Lead
Position Description Act as Team Lead in Inquiries Group. Research, analyze and respond to regulatory inquiries from the SEC, CFTC and SROs relating to possible federal laws and SRO/Exchange rule violations; analyze complex trading data to distill the information into responses regarding trade executions and order handling; interact with business unit personnel, traders, technology and operations personnel, external and internal counsel, compliance coverage, etc., as required to investigate, gather responsive documents, analyze and respond to complex trade inquiries; prepare formal response to Read more […]