Client Operations & Documentation
High calibre individual with a strong legal background/qualification and practical experience of the investment management industry sought by this leading global house.The role is legally focused and will concentrate on the drafting and negotiation of Investment Management Agreements and other client contractual documentation. This will involve working closely with client relationship, operations, risk and compliance teams to ensure adherence to all relevant regulation and legislation, management of new client take-on, managing process flows and controlling all client data, whilst ensuring the Read more […]
Lead Business Analyst / Project Manager
The Risk Management Group (RMG) is an independent, centralised unit responsible for assessing and monitoring risks across Macquarie. This includes market and liquidity risk, credit risk, compliance risk and operational risk. RMG personnel liaise closely with all operating areas to ensure risks are understood and properly managed.Within Compliance we have a team responsible for the identification, design and delivery of projects. Due to an increasingly complex global regulatory environment we are now seeking a highly motivated and experienced Lead Business Analyst / Project Manager to join our Read more […]
Senior AML Manager
Key Responsibilities Provided direct team management for the AML Team (3/4 reports)Ensure that the business units/lines are in compliance with the UK/Regional AML regulations, policies and best practices.Where appropriate, deputise for the MLROConduct training to business units/team heads/individualsEnsure that all suspicious transactions are immediately investigated, documented and reported to SOCA and the MLROEnsure all business partners are made aware of changes to requirements/Policy to ensure that they comply with the appropriate laws and regulationsActively participate within related Read more […]
Junior Compliance Officer | Systematic Hedge Fund | London
Junior Compliance Officer | Systematic Hedge Fund | LondonMy client, a forward thinking and growing hedge fund based in London, are currently seeking a exceptionally bright and talented Junior Compliance Officer to join their team.You will assume responsibility for the company’s compliance status vis-à-vis a variety of regulatoryagencies and in various jurisdictions, the principal one being the FCA. To be successful, you must be a tenacious, driven individual, who is adept at learning new skills quickly and efficiently and thrives on a challenge.Responsibilities include:** Managing regulatory Read more […]
Investment Adviser Compliance Officer
Candidate must have experience in the daily compliance functions of an SEC-registered investment adviser with significant experience in the review of performance information and track records and the drafting of policies and procedures. Candidate will assist in creating, testing and revising procedures to ensure that the firm is in compliance with applicable laws and regulations. Candidate must be with familiar the Investment Advisers Act of 1940 and related SEC regulations. Candidate will assist in preparing for SEC examinations and coordinate with internal groups in the collection of audit requests. Read more […]
Sanctions Filtering Team Leader
Job DescriptionThis role provides first-line supervision to a team that supports the US Dollar Clearing business function with real-time transaction sanctions filtering review. This support ensures adherence to regulatory policies and protects the Bank from reputational, operational, financial and regulatory risk. This role also recommends, interpets and implements administrative policies and procedures.Key Roles Responsibilities* Supervise and coordinate the work-flow for the team (i.e. San Francisco Sanctions Filtering Team) responsible for real-time sanctions filtering review for US Dollar Read more […]
Senior Compliance Officer and MLRO
A full and detailed job spec is available on request. Essentially, this is a 2-i-C to the CF10 where the successful candidate can expect to work closely with and as a peer to CF10. There is a drive and focus in the organisation to enhance the risk and compliance capabilities and this role will be essential to that process and as such, will have a key profile within the business. For further information, please contact lindsay@stephenbellassociates.com
Group Compliance Officer
A full and detailed job spec is available on request. Essentially, the Financial Planning business needs a Compliance professional who is proven, competent and articulate – a proactive motivator who is energetic and enthusiastic and takes a pragmatic and commercial approach when dealing with both the business and Senior Management. For further information, please contact lindsay@stephenbellassociates.com
EMEA COO
Compliance is responsible for the provision of regulatory advice to all areas of the Investment Corporate Bank, the monitoring of all business activities to measure compliance with applicable regulations and the risk management framework, the creation and implementation of appropriate regulatory policies and procedures, the management of relationships with all of its regulators and training to keep the business groups apprised of policies and regulatory requirements. The COO team provides proactive strategic, project management and operational support to the Compliance Executive CommitteeThe Read more […]
Sanctions Filtering Associate
Job DescriptionThis role supports the US Dollar Clearing business function with real-time transaction sanctions filtering review. This support ensures adherence to regulatory policies and protects the Bank from reputational, operational, financial and regulatory risk. This role also recommends, interpets and implements administrative policies and procedures. The role achieves the above by processing one or more Funds Transfer Products, i.e., CHIPS, FEDWIRE, Checks, In-house transfers and Electronic Banking, and Message Center as related to Sanctions Filtering.Key Roles ResponsibilitiesPerformance: Read more […]