Global Financial Services firm seeks CCO
This Global Financial Services Firm is seeking a CCO for their Industry Leading Derivatives Broker-Dealer Business, based in New York or Chicago. They have rapidly expanded and have consequently become more regulated and have expanded their compliance department by 100% over the last 18 months. Therefore they need an industry leading Chief Compliance Officer to come in and head up this division in the coming months as more expansion is underway.They are able to pay above and beyond to secure the best possible candidates in the market. This si because you will not only be responsible for heading Read more […]
Compliance Manager
My client a successful and leading household name Investment Manager seeks an additional Compliance Manager to advise the business(es) in relation to a range of products and services some of which are listed below:– Unit Linked Funds· Index funds;· Fixed Income;· Equities;· Authorised finds – including unit trusts and OEICs;· Insurance funds;· Liability Driven Investments; Reporting into the Chief Compliance Officer(CCO), the Compliance Manager will be responsible for pro-actively ensuring the highest standards of compliance within the business areas are met if not surpassed. The main Read more […]
MD FX/MD Change
Managing Director/Director based in London responsible for supporting the European activities and priorities of the Global FX Division, as well as taking ownership for key global issues and regulatory developments on behalf of the function. The Global FX Division in responsible for;Promoting an efficient global FX marketMonitoring new developments in regulations, policy and market structureHelping to develop market policy or best practice and facilitating consultation with key market participants.Building relationships with regulators world wide. This key hire will take responsibility for; The Read more […]
AML Manager
You will focus on compliance with standards procedures across: centres of excellence; other UK and International hubs; AML technologies which support these processes and colleagues to detect and combat Financial Crime.Key responsibilitiesManage and undertake a portfolio of specialist first line of defence AML monitoring reviews across UK and International business units which are complex in terms of scale, scope, and stakeholder management.Support stakeholder relationships across the Group at senior management and executive level to influence change, share best practice, provide guidance in Read more […]
Operational Regulatory Risk
OverviewManage and oversee Operational elements of FSA client money and custody requirements (“CASS”) regulatory review/programmes in relation to SEI global wealth platform and asset management businesses.Reporting to UK Operations, UK Compliance and UK Board of Directors.ResponsibilitiesEnhance and maintain CASS oversight, governance/MI and Operational Controls and proceduresEnhance and monitor procedures and controls environment in line with CASS requirementsMonitor and review CASS developments and ensure that these are reflected in updated policy, procedure and operating practice.Build, Read more […]
UK Regulatory Operations Manager
SEI is regulated in the UK by the FSA and as such, is committed to compliance to the FSA regulatory regime on its own behalf and for those services which we provide to our clients.SEI has created a suite of services to assist our clients (e.g wealth asset management firms and banks/professional investment firms) in their business, including order management trading activities, middle office solutions, accounting transaction processing related activities. As an outsourced investment process provider we have the post trade responsibility of looking after the full trade lifecycle of our clients Read more […]
Counsel, Vice-President
Our CompanyState Street Corporation (NYSE: STT) is the world’s leading provider of financial services to institutional investors including investment servicing, investment management and investment research and trading. With $24.37 trillion in assets under custody and administration and $2.09 trillion in assets under management at December 31, 2012, State Street operates in 29 countries and more than 100 geographic markets and employs 29,660 worldwide. For more information, visit State Street’s website at www.statestreet.com.Promoting a culture of excellenceWith more than 29,660 employees across Read more […]
Client Due Diligence Project Manager, KYC, £650
Client Due Diligence Project Manager, Banking, London, KYC, £650 per dayA Tier-1 Investment Banking client in London have an urgent requirement for a Senior Project Manager with a KYC or client due diligence/client on boarding background, on a 6 month rolling contract paying £650 per day.You will meet the following requirements:Strong KYC or client on boarding project experienceStrong Project Management experienceInvestment banking backgroundGood knowledge of data systems e.g. ERDSGood understanding of the regulatory spaceGood change management skills and experienceOut and out PM – this role Read more […]
Case Review Analyst, IR Derivatives, £500-600
Compliance Case Review Analyst, London, Banking, Interest Rate Derivatives, £500-600A banking client in London urgently requires a Compliance Case Review Analyst with a strong Interest Rate Derivatives background to take part in a high-profile on a 5-month rolling contract paying £500-600 per day.You will meet all of the following essential skills/experience: Investment Banking experienceExcellent understanding of regulatory requirements (FSA) around the sales of interest rate derivatives productsGood knowledge of interest rate derivatives productsQuality control reviews of case assessments and Read more […]
Trade Surveillance Project Manager
Trade Surveillance Project ManagerTrade Surveillance Project Manager required for Top Tier Investment Bank. Experienced within Front Office Environment and business domain experience within Equities or Fixed income is a MUST. The Trade Surveillance Project Manager will be required to face off to multiple business streams and follow strict Regulatory deadlines in accordance with the rest of the group. The Trade Surveillance Project Manager will become a integural part of a newly built team, heading up EMEA and ASIA capabilities, whilst liaising with the Key work engine from New York. The Trade Surveillance Read more […]