Compliance Executive required by global market leading financial services firm based in London
The role has been created to represent the Compliance function in the UK office to assist the CCO in achieving the Compliance Work Program and promoting critical ethical standards to ensure the achievement of the objectives of all compliance programs across the client.Key responsibilities:• Monitor and report results of all compliance, ethics and supervisory related efforts of the client• Provide guidance to the client and their Board on matters relating to Compliance. This will include assessing compliance Read more […]
Head of Risk and Compliance Monitoring-Investments
It is essential that you have had previous Risk experience from the Investment and or Wealth Management sectors Once the risks have been identified, assessed and evaluated go on to implement processes and procedures to ensure that the Group is fully prepared to deal with any potential threats. Assist business unit heads to maintain their part of the risk register ensuring that risks, potential outcomes, controls and mitigating factors are all recorded on the system and that business unit heads regularly review and update the entries.Liaise closely with Internal Audit, Compliance Monitoring and Read more […]
Derivatives Policy and Risk Management Lawyer
The Company Our Client is a market-leading financial services organisation. It is currently seeking a qualified lawyer with expertise in global derivatives policies and counterparty risk management for an upcoming temporary assignment. The Role This London-based project is starting immediately and will last 6-12 months. The successful candidates will be responsible for providing legal advice about counterparty exposure to mitigate risk and ensure maximum benefit of capital in the derivatives business.About You The successful candidate should have a broad knowledge of policies regarding documentation, Read more […]
Financial Services Regulatory Lawyer
The CompanyOur client is a market-leading financial services organisation. It is seeking a lawyer with expertise in regulatory issues that will impact its business decisions; for an upcoming temporary assignment.The RoleThe successful applicant will be responsible for providing legal advice in relation to regulatory changes made worldwide. You should be able to assess regulatory risk in a timely fashion and provide clear, concise advice to senior business and legal management team members while adhering to internal legal policies. The project is in London and is expected to start in May. It will Read more […]
Head of UK Compliance
A distinguished and well regarded Wealth Management company based in the heart of the West End of London require a Head of Compliance for their UK business. Reporting directly in to the Head of European Compliance and the CEO you will be responsible for the management and day to day running of the compliance function relative to the UK business. This role will hold the CF10/10a/11.The company are long established, and are currently in the midst of an organic growth phase. The company focus on High and Ultra High net Worth Wealth Management predominantly�across Europe.�They would be considered Read more […]
Compliance Officer – Bespoke Systematic Trading Hedge Fund
The successful client will work in a decision making capacity and managing key relationships with the FCA, BaFin, NFA and SEC. Candidates are expected to also have experience with European regulatory guidelines (ESMA) and also appreciate/understand similar requirements relative to the USA. Candidates will be in charge of providing reports to the necessary bodies as well as implementing and advising the firm on new regulatory changes and the procedures they should have in place to adhere to this. My client is looking for someone that can provide ideas on how to improve processes and direct the Read more […]
Legal and Compliance Analysts
This Top Tier Investment Bank is looking for a number of Legal and Compliance Analysts to provide legal and compliance support to a banking integration project which is taking place after an acquisition. Responsibilities include but are not limited to: *Advising on application of relevant regulation and policy to integration process *Assisting the with ad hoc tasks on the project The successful candidate is likely to have: *A Compliance or Legal background *Experience working in Private Banking or Wealth Management context *Significant experience working in a law firm, in-house Legal or Compliance Read more […]
Product Manager, Regulatory Services
The Product Manager is the senior business person responsible for the full life cycle of the product. They coordinate product activities with various functional areas across the organizations such as Sales, Marketing, Operations, Customer Service and Financial Management. Product Management is tasked with focusing energies on five key disciplines: Planning: Strategic and Tactical Product Planning DevelopmentMarketing: Promotional Communications, Sales Tools and TrainingSales and Distribution Channel SupportFinancial and Profitability ManagementRegulatory and Risk Management The product Read more […]
Senior Compliance Officer
This position will involve you taking a lead on developing the financial crime team and supporting all matters relating to financial crime, including producing the annual MLRO report and ensuring process and procedures relating to financial crime are appropriate.Working with the MLRO on investigations of suspicious incidents and suspicious activity and report where necessary.Advise the business in regard to financial crime and reputational risk issuesFor more information, please send in your resume to stuartvines@taylorroot.com Please note our advertisements use PQE/salary levels purely as a guide. Read more […]
Compliance Officer (CF10/CF11)
The RoleReporting into senior management, you will be responsible for:Managing the regulatory relationships with the FSA SECKeeping up to date with global regulatory developments and updating internal policies and proceduresProviding compliance reports to Regulatory Bodies and relevant BoardsImplementation and on-going enhancement of the compliance monitoring programmeProviding accurate and timely advice to relevant business areasReviewing marketing and client documentationProvision of monitoring and execution functions relating to anti money launderingOversight of personal account dealing and Read more […]