Vice President SOX and Governance
My client, a top financial services provider, is looking for someone to join their SOX and Governance team as a Vice President. The role is to assist the head of the team in providing effective and efficient control issues insight. The VP will initially have two direct reports with the potential for team growth this year. Job SpecificationFinancial reporting risk oversight – Liaise with numerous business units to embed refreshed oversight process and ensure SOX compliance remains top priority.Review and challenge SOX control issues submissions.Challenge information received from business units Read more […]
Surveillance & Advisory Analyst
Responsibilities:SurveillanceReview transactions for legal and various policy breaches.Follow up on surveillance alerts to a final conclusion. This will involve liaising with traders, understanding restrictions, both legal and policy based.Understand and gain knowledge of legal and regulatory and policy trading requirements. Such as Suitability.Interact with Global Surveillance colleagues.AdvisoryReview marketing materials termsheetsTrade consultationAssist in creation of compliance training material and in the organization of training session and compiling training target audiencePut together Read more […]
Digital risk / compliance (retail banking)
Digital banking / online banking / compliance / operational risk My client is a leading UK retail bank. As part of their overall digital strategy they require someone with a background in digital who can assist with the oversight of potential risks, both operational and regulatory. Whilst training and guidance can be offered on the speicifcs of regulation a knowledg eof digital and the technical risk associated is essential. The team provides second line compliance oversight to UK Retail projects, product development and sales process, identifying conduct risk and challenging standards at each Read more […]
Compliance Officer – Private Equity
The PositionThe Guernsey office for this 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. This will be a standalone compliance position reporting directly into the Head of Compliance, who is 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 Read more […]
Compliance Officer
Job Title: Compliance Officer – Private BankingRoleSupport and offer consulting services to management as well as front employees in the implementation and supervision of compliance issuesPerform client onboarding including assessment of KYC and CDBProvide training and training materials in connection with Compliance topicsReview of unusual transactionsSupport internal Compliance projectsAct as centre of competence within the bank for questions from the business management in connection with Compliance issuesConduct internal investigations in collaboration with other specialist departments and Read more […]
Legal Counsel, Energy Compliance
Legal Counsel, Energy Compliance – The Role: The job holder will be required to manage a portfolio of compliance activities including: promotion of compliance culture, giving advisory opinions, supporting financial crime/market conduct programs, conflicts management, providing compliance training, applying knowledge of energy and financial commodity products, approving new business initiatives, policy development, and assessing applicable forthcoming UK and EU financial legislation in conjunction with Regulatory Affairs and Legal. The job holder will be expected to contribute to the compliance Read more […]
Centrica Energy Anti-Bribery and Corruption (ABC) Officer
The ABC function works with other Centrica’s Lines Of Business (LOB) colleagues and relevant third parties to develop and implement policies, procedures and controls to help ensure that Centrica complies with various anti-bribery rules and standards. This function is of critical importance given the U.K.’s passage of the Bribery Act and a renewed focus on enforcement of existing anti-bribery laws. This renewed focus aligns with the U.S. Department of Justice’s (DoJ) and Securities and Exchange Commission’s (SEC) aggressive enforcement posture with regard to the U.S. Foreign Corrupt Practices Read more […]
Compliance Officer, Energy Compliance
The role will also have a significant monitoring and surveillance component, including system configuration, development and testing within the system development lifecycle. To meet the challenges and demands of this role it is likely that the job holder will have acquired significant relevant wholesale financial services and energy market experience and strong IT skills to meet the demands and challenges of a varied role. p p pThe role will have significant interaction with the firm’s trading and origination business as well as the firm’s support and control functions. p p pThe job holder’s Read more […]
Director of Compliance/Legal
THIS ROLE IS BASED IN NEW JERSEYPrimary ResponsibilitiesWork with Senior Management to promote a culture of complianceReview the adequacy of the Firm’s policies and procedures and the effectiveness of their implementation (e.g. code of ethics governing the personal trading practices of all employees, trade allocation, best execution, surveillance of communications, etc.)Update the Firm’s policies and procedures as a result of changes in business activities or operationsProvide training to all employees about the compliance culture and systems in placeMonitor changes to applicable laws, rules and/or Read more […]
Director of Compliance/Legal
THIS ROLE IS BASED IN NEW JERSEYPrimary ResponsibilitiesWork with Senior Management to promote a culture of complianceReview the adequacy of the Firm’s policies and procedures and the effectiveness of their implementation (e.g. code of ethics governing the personal trading practices of all employees, trade allocation, best execution, surveillance of communications, etc.)Update the Firm’s policies and procedures as a result of changes in business activities or operationsProvide training to all employees about the compliance culture and systems in placeMonitor changes to applicable laws, rules and/or Read more […]