Compliance Manager II Job
Compliance Manager II (Job Number: 1303812)DescriptionThis position will be dedicated to the oversight of adviser compliance for MBSC, a registered investment adviser.Responsibilities will include:· Developing and maintaining Compliance Program for MBSC consisting of:-Policies and Procedures adequate to prevent violations of federal securities law-Procedures adequate to comply with BNY Mellon corporate policies- Testing Program to assess compliance with policies and procedures-Formal written annual review of the Compliance Program for MBSC in accordance with SEC Rule 206(4)-7· Providing Read more […]
VP, RIA Compliance
Manages RIA Compliance staff; manages and directs the registrations of TFA as an investment advisor, its representatives as investment advisor representatives (“IARs”), and its branch offices with all states and required territories ensuring compliance with Federal and State laws; develops and implements TFA’s investment advisory policies and procedures as required by the SEC and state laws; assists TFA’s Advisory Services Department with the review of TFA’s advisory programs; manages review of advisory program materials and coordinates review of such materials with TFA’s Legal Counsel; develops Read more […]
Associate Director – Insurance
Fantastic tax free package that includes a very generous housing allowance. The role will be based in the Middle East. For the exact location and full job description, please get in touch.The Associate Director will work with other staff at the supervisory authority to authorise applicant institutions and implement supervisory risk identification and mitigation programmes in respect of authorised insurance institutions (life and non-life), reinsurers and intermediaries, and will direct the production of supervisory work programmes.Responsibilities:Identify risks to regulatory objectives and manage Read more […]
Senior Financial Crime Officer
Senior Financial Crime Officer, London A financial institution in London is seeking a Senior Financial Crime Officer within the Financial Crime Team to assist the MLRO and Anti Bribery and Corruption Officer for the business and contribute to all aspects of the financial crime risk management framework including anti money laundering, counter terrorist financing, sanctions, fraud and anti bribery and corruption. Responsibilities: Provide support on all matters relating to financial crime including producing the annual MLRO report and ensuring process and procedures across relating to Financial Read more […]
Senior Compliance Advisory Officer
Our client, a global financial financial institution is looking for a senior compliance advisory officer to provide advice, guidance and support to their investment banking business focussing on their corporate finance activities and reporting directly to the Head of Investment Banking Compliance. The individual would help to mitigate regulatory risks to protect and enhance the reputation of the firm.Duties Include:· Point of contact for business in regards to regulatory and transactional advice.· Provide regulatory input and advice in the development of new products and services· Provide Read more […]
Head of UK Risk
As Head of UK Risk your role will include -Designing, implementing and maintaining a risk management framework in the UK. This includes –Developing and maintaining an appropriate UK Risk Management governance structureLead and manage the UK Risk function including managing a teamImplement a risk management methodology covering risk assurance reviews and business risk assessmentsDevelop and maintain risk tools and systems including RADAR and StratexMaintain adequate risk management related best practises and processes for the effective management of counterparty, credit and liquidity riskMonitor Read more […]
Legal Counsel IGRS
About Zurich Corporate Life Pensions (CLP) is one of the main distribution channels in Global Life. We provide employers with pensions, life insurance, and group income protection solutions to offer as part of their benefits package to their employees. The Role Legal Counsel for IGRS Key Accountabilities IGRS is a market facing unit (MFU) within the Corporate Life Pensions (CLP) pillar of Global Life and includes two main businesses: International Group Protection (IGP) and Zurich Employee Benefits Network. In your role as Legal Counsel for IGRS you will contribute to delivering the mission Read more […]
Compliance Officer/Operating Officer
ABOUT TOWERS WATSONTowers Watson is a leading global professional services company that helps organizations improve performance through effective people, financial and risk management. With 14,000 associates around the world, we offer solutions in the areas of employee benefit programs, talent and reward programs, and risk and capital management. The BusinessTowers Watson Capital Markets (TWCM) Inc., is a wholly owned subsidiary of Towers Watson that advises clients in the areas of risk-linked securities, retirement risk transfer transactions and asset risk management services, including evaluating Read more […]
Wealth Planner
Job Description: Wealth Planner Our client is a leading Global Private Bank. Due to their growing business needs, they are seeking experienced professionals to join their expanding Wealth Planning team.Wealth Planners in the team will work closely with Private Banking Relationship Managers to provide wealth structuring strategies and solutions to high networth clients of the bank. This includes tax planning, setting up of trusts, estate planning and insurance planning amongst others. Key tasks and responsibilities include: • Actively supporting Private Bankers in client meetings, presentations Read more […]
Account Executive (Institutional Shareholder Services)
About ISS Corporate Services (www.isscorporateservices.com)ISS Corporate Services understands corporate governance. Since 1997, corporate issuers have leveraged our expertise in executive compensation, governance ratings, capital structure, sustainability, voting trends and corporate governance research to build shareholder value through strong governance programs. Our global client base extends to more than 1,200 companies each year located in the U.S., Canada, U.K., Europe and Asia, as well as other established and emerging markets worldwide. These industry leaders leverage ISS Corporate Services’ Read more […]