Associate / Advanced Associate Lawyers – Retail
About the roleOur Enforcement Financial Crime divisionbrings disciplinary and civil cases, and criminal prosecutions on behalf of the FCA, whilecoordinating our overall efforts to reduce financial crime.To help us make these cases a success, we are looking to add experienced and dedicated Lawyers to our team. As part of our Retail departments, you will investigate and bring regulatory action against regulated firms who engage with consumers, such as retail banks, stockbrokers and mortgage brokers. You will investigate a range of cases from misselling, financial promotion issues to anti-money laundering Read more […]
Associate / Advanced Associate Forensic Investigators / Accountants – Retail
About the roleOur Enforcement Financial Crime divisionbrings disciplinary and civil cases, and criminal prosecutions on behalf of the FCA, whilecoordinating our overall efforts to reduce financial crime.Our cases attract large-scale media attention and help to protect investors and consumers.To help us make these cases a success, we are looking to add more Forensic Investigators to our team. As part of the Retail departments, you will investigate and bring regulatory action against regulated firms who engage with consumers, such as retail banks, stockbrokers and mortgage brokers. You will investigate Read more […]
Corporate Compliance Manager Job
Corporate Compliance Manager (Job Number: 1209000)DescriptionThe Corporation’s Compliance Management program requires each business unit to establish appropriate compliance and regulatory controls based on the identification of specific business line related compliance requirements. The incumbent will use his/her specific regulatory and compliance knowledge to assist the business sectors and lines of business in adopting appropriate compliance standards. The incumbent will be responsible for managing a number of compliance specialists.QualificationsThe qualified candidate will have at least 15 Read more […]
Bank Compliance Officer
Position Description The position requires knowledge of banking products and sales practice issues as they relate to a retail and ultra high net worth broker dealer.The role has two major components. Primary responsibility will be to review marketing material produced by affiliated banks for products offered and sold by the broker/dealer. In addition, the role requires advising the business unit regarding the marketing and sale of banking products to clients of the US broker/dealer. Emphasis will be on lending products, with a focus on non-purpose loans utilizing assets held at the broker/dealer Read more […]
Investment Advisory Services Surveillance Analyst
Position Description Investment Advisory Services (IAS) Compliance provides compliance coverage and support to MSWM’s discretionary, non-discretionary advisory and separately managed account businesses. IAS is seeking a Compliance Professional to perform surveillance of transactions and sales activity in Investment Advisory accounts. This person will also conduct testing of the policies and controls for the advisory programs, and provide advice and guidance to the business about the need to establish and maintain policies and procedures. The responsibilities of this position include: – Using Firm Read more […]
MSWM Compliance Registration Analyst
Position Description Join Morgan Stanley’s Institutional Regional Processing Center in Baltimore, Maryland. We have an exciting Analyst opportunity within the Legal and Compliance Division’s Registration Department. The Registration Department performs all registration-related activities on behalf of Morgan Stanley Wealth Management, Morgan Stanley Co., LLC, Morgan Stanley Investment Management and its securities professionals. The Department is responsible for the following activities: • Filing, maintaining, and updating qualification, employment, and disclosure records for all prospective Read more […]
Compliance Manager
This firm has strong growth plans in the Australian and international market, and this role will act as the first line of defence to ensure that all regulatory risks are suitably identified and mitigated as the business expands.Duties will involve:Partnering, advising and challenging the business in relation to the management of regulatory risks and complianceParticipating in key change management meetings as a compliance representativeMaking the business aware of and assisting in the roll out and implementation of the compliance framework, programs and policies, including execution of the regulatory Read more […]
Manager, Compliance Corporate and Asset Finance*
Support Macquarie’s Lending and Asset Finance businesses in Australia Newly created role – enjoy high degree of autonomy Work as part of business aligned compliance team About the RoleMacquarie Corporate and Asset Finance (CAF) provide innovative and traditional capital, finance and related services to clients operating in selected international markets. With offices in Australia, New Zealand, Asia, North America and Europe, Corporate and Asset Finance specialises in leasing and asset finance; tailored debt and finance solutions and asset remarketing, sourcing and trading.As Compliance Manager, Read more […]
Manager, Compliance
Manager, Compliance – Fixed Income, Currencies and Commodities, Risk Management GroupEnergy Markets, Energy Capital Upstream Electricity DerivativesAbout the roleensuring compliance by FICC’s Australian staff with internal and external policies assisting with all general queries from the business, other compliance departments and support areas (Market Operations, Credit, Audit) reviewing marketing material to ensure compliance with relevant regulatory requirements monitoring and surveillance activities liaising with Macquarie’s groupwide Compliance function (internal reviews, ad hoc queries) Read more […]
Lawyer, Legal and Governance*
In-house Lawyer, Group Legal (Maternity leave maximum term contract)Commercial contracts Join an established, highly collaborative team Diversity of subject mattersAbout the roleReporting to the General Counsel, Commercial in the Legal and Governance Group, you will join a team of eight lawyers in Sydney and two in New York who have a global remit across the Macquarie Group. You will primarily be responsible for the provision of legal advice and assistance for information technology and commercial business services, encompassing:Reviewing, drafting and negotiatingIT and other commercial contracts, Read more […]