Conduct Assurance Manager
providing assurance of the firms Compliance and Conduct Risk framework, controls and assessment of 1st line of defence controls. You will oversee the Compliance and Conduct Assurance team and be responsible for producing and implementing the annual assurance plan. Further, you will develop and implement second line of defence activities across the group. The right person for this role will have a strong knowledge of Compliance / Regulatory requirements gained from an Insurance environment. Experience of operating within a second line of defence role and overseeing/monitoring 1st line of defence Read more […]
Compliance Monitoring Officer
of the businesses Compliance objectives. You will achieve this via designing and implementing an effective Compliance Monitoring / Assurance programme. You will work across the business and be responsible for providing assurance to the Head of Compliance on the effectiveness of internal policies, execution of Risk Mitigation Plans, compliance with all external regulatory requirements and the internal control environment. You will also play a key role in developing systems to capture MI and collate this information to improve internal systems and controls. The right person for this role will have Read more […]
Junior Compliance Assistant for rapidly expanding Investment Management Firm | London, UK
Junior Compliance Assistant for rapidly expanding Investment Management Firm | London, UK Salary – 30k + benefits bonus Description A leading investment management and brokerage firm is looking to expand their compliance function to mirror expansion across their front office. The role will report into the CCO and so will have ample exposure to multiple reporting lines and facing with senior management. The role will involve supporting the compliance group in their regulatory duties as well as providing advice, support and oversight to the regulated business activities of the firm. This will Read more […]
Control Group Associate
Position Category: Legal/CompliancePosition Title: Control Group Associate – Compliance, LondonJob Level: AssociateLocation: United Kingdom – LondonEducation Required: Refer to Position DescriptionPosition Description:1.Job ObjectiveTo assist the Firm as a whole, as well as individual business units, to comply with UK legislation and regulation, and applicable European and foreign legal requirements. 2.Job Dimensions The EMEA Compliance Department is a service-oriented department which provides guidance and advice to all business and support staff at the Firm, including sales, trading, research, Read more […]
Technology, Intellectual Property and E-Commerce Lawyer (Vice President)
Position Category: Legal/CompliancePosition Title: Technology, Intellectual Property and E-Commerce Lawyer (Vice President)Job Level: Vice PresidentLocation: United Kingdom – LondonEducation Required: Refer to Position DescriptionPosition Description:The Technology, Intellectual Property E-Commerce Law Group at Morgan Stanley is responsible for providing support in these functional areas, as well as Privacy and Data Protection, across the Morgan Stanley enterprise globally. The team are currently seeking a technology, intellectual property and e-commerce lawyer to be based in London.Skills Required:• Read more […]
Risk and Compliance Adviser
Role Responsibilities:Provide regulatory oversight and advice to ensure that the business is informed of all risksMonitor the management of Compliance and Risk related issues/breaches ensuring they are appropriately handled and resolvedEngage and effectively communicate with management and multiple stakeholdersDrive new Risk and Compliance initiatives or projects to reflect ongoing brand strategyProvide Risk and Compliance advice to advance the continuous enhancement of frameworksReport writing and presentation Role Requirements:3-5 years experience in Operational Risk and ComplianceExposure to Read more […]
Operational Risk Lead
As an operational lead you will be responsible for the design and delivery of Operational Risk framework for one of the following lines of business: Invesment ManagementVendor ServicesTechnologyRetirement Plan ServicesBanking divisionConsequently you will have to head up both the hands on implementation of the different frameworks and techniques as well as the management of of a small team covering IT, compliance and risk professionals.You will have a dual reporting line to the head of the relevant business as well as a Board Level Risk Executive. Therefore you will gain immediate exposure to senior Read more […]
Operational Risk Lead
As an operational lead you will be responsible for the design and delivery of Operational Risk framework for one of the following lines of business: Invesment ManagementVendor ServicesTechnologyRetirement Plan ServicesBanking divisionConsequently you will have to head up both the hands on implementation of the different frameworks and techniques as well as the management of of a small team covering IT, compliance and risk professionals.You will have a dual reporting line to the head of the relevant business as well as a Board Level Risk Executive. Therefore you will gain immediate exposure to senior Read more […]
Sourcing Specialist
Our views matter. So will yours.Further information about “working at Moody’s” is available at our Careers Page at www.moodys.comThe Sourcing Analyst (SA) is responsible for strategic sourcing and contracting for professional services (specifically focused on IT and BPO) including supplier contract and Statement of Work (SOW) drafting negotiations, rate negotiations and demand management. The SA will initially work under close supervision but will be expected to independently manage renewals and simple SOW’s while developing the skills to take on more complex deals. The SA will be expected Read more […]
Risk & Assurance Manager
At Optus our long-term success depends on our ability to differentiate from our competitors in the experience that we provide to our customers. Our people drive this success. ‘Yes’, a small word that holds an enormous promise to our customers. It speaks volumes about our attitude as a company. It’s an attitude that sets us apart. And it’s an attitude that has delivered – and will continue to deliver – great success. A new opportunity presently exists for an experienced Risk Assurance Manager on a 12 month contract to join our dynamic team. This is a newly created role that will enable Read more […]