Market Risk Regulatory Liaison roles
My client, a Tier 1 Investment Bank has a requirement for two Market Risk Regulatory Liaison Managers at AVP VP level.The team specialise in interacting with the Regulators of this Tier 1 Investment Bank and they have specilaists for Market Risk, Credit Risk, Liquidity Risk and Operational Risk in the team.The team itself is comprised of ex Quants and Risk Managers with a keen interest in the changing regulatory landscape within Banking.The team liaise with the FSA and other regulators and provide advice, project management and impact assessment to the Risk and downstream areas of the Bank to Read more […]
JUNIOR COMPLIANCE ASSOCIATE
Junior Compliance Associate Hedge Fund Manager A well-known, well-established Hedge Fund/Registered Investment Adviser located in midtown NYC with approximately $3B AUM is seeking a Junior Compliance Associate to assist the Firm’s Chief Compliance Officer, General Counsel and several other people within the Company’s compliance area. This is a junior role meant for a recent college graduate with excellent academic credentials who has attended a highly rated and well regarded college or university. Compliance experience would be a very big plus and would help to being successful in this role Read more […]
Client Money Specialist
Excellent opportunity for a high calibre individual with excellent communication and presentation skills, together with a sound regulatory background to include in-depth knowledge of the FCA’s Client Access Sourcebook and similar regulatory regimes The successful candidate will demonstrate superior critical analysis skills and the proven ability to communicate complex technical information to a non-technical but well informed audience of finance professionals. The ability to influence and negotiate with senior stakeholders, both internally and externally is essential, and will be complemented Read more […]
Compliance Monitoring Executive
Candidates will need to have worked in Investment Management, Asset Management or Private Banking previouslyCandidates will need to have significant prior experience of Compliance Monitoring within Investment or Asset ManagementThe client are looking to recruit an individual who keeps up to date with regulatory changes and has an enthusiasm for regulatory complianceThe client is looking to move quickly and can arrange interviews at short notice.The right candidate will need to be comfortable facing off with brokers/traders, the legal team other departments on regulatory matters Required Experience3-5 Read more […]
Compliance Desk Review
Candidates should have at least 3 years prior experience working in Compliance in Banking, ideally in Investment BankingCandidates should have prior experience performing desk reviewsCandidates should ideally come from an audit or accountancy background, or have some prior audit experience Beneficial Skills/QualificationsDiploma or certificate in Compliance from ICA or equivalentACA, ACCA or similar accountancy certifications For more information or to apply for this role, please contact Jasemin at jasemin.akcay@jcwresourcing.com or call on 0203 589 9276 Read more […]
Derivatives Lawyer
Skills Required: LPC qualification or similar post degree law qualification For more information or to apply for this role, please contact Jasemin at jasemin.akcay@jcwresourcing.com or call on 02035 899 276
Senior Risk Officer
The RoleThe primary purpose is to support the Head of Risk and Compliance in the ongoing management and monitoring of risk and your main duties will include –Planning, designing and implementing an overall risk management process for the organisationImplement suitable risk management and monitoring softwareRisk assessment and evaluation, involving comparing estimated risks with criteria established by the organisation such as costs, legal requirements and environmental factors, and evaluating the organisation’s previous handling of risksEstablishing new policies and procedures and conduct audits Read more […]
Operational Monitoring Manager
Responsibilities will include:Performing operational monitoring procedures on external third party service providers and sub-investment managers, and internal shared service functionsMonitoring performance of key controlsMaintaining documentation on monitoring activitiesConducting root cause analysis when exceptions foundManaging follow-up activitiesIdentifying control improvementsDeputising for the Head of Operational Monitoring as required.Candidate RequirementsMinimum 2:1 degree, Investment Qualifications – IMC/CFAExperience is a compliance/audit/monitoring role in an asset manager/custodian/fund Read more […]
Chief Compliance Officer
The CCO will oversee the managed accounts, wrap products, investments and asset allocations. The ideal candidate will support the following: advising on monitoring of Investment Advisor Representatives (IRA), new products, and due diligence of third party providers, financial planning, trading and preparing compliance reports on these activities. The CCO will also be responsible for assisting IRA with training on compliance related issues and will accompany personnel on IAR visits as necessary. The individual will be responsible for updating and filing ADV parts 1 and 2 and assisting in developing Read more […]
Central Compliance Officer
The functions of the Central Compliance team includes: Licenses and Registrations, Personal Account Dealings, Private Investments, Outside Affiliations, Gifts and Entertainment, E-Communications Surveillance, Information Risk Management (Records Management, Data Privacy, E-Discovery and Large Holdings) and Compliance Breach Escalation Management. RESPONSIBILITIES • Assist manager in executing the Central Compliance strategic target operating model. • Develop, execution and documentation of testing across various Central Compliance functions including Gifts Entertainment, Personal Investment Read more […]