Systems Control Manager
A leading Investment Group is looking for a Control Systems Manager to join their Insurance business line within their Compliance function, based in their Midlands office. This global institution provides investment solutions across a variety of asset classes and they now have an opening for a role that will work closely with the groups Chief Operating Officer across a variety of Compliance and Operational issues. Your main responsibilities will be: Managing, overseeing and testing the operational systems and processes.Utilising policies, procedures and systems to identify and assess the probability Read more […]
Senior Compliance Executive
OverviewThis is a fantastic opportunity for an experienced Compliance professional, with at least 3-5 years experience in Financial Promotions, to join a forward thinking organisation.Key experienceProviding regulatory advice to the asset management business on the preparation and marketing of financial promotions and providing compliance approval within the marketing approval process.Analysing the impact of new regulations to assist the business in its preparation for regulatory changes. Approving financial promotions, ensuring adherence to regulations in all relevant jurisdictionsProviding compliance Read more […]
Lead Auditor
Audit professional with established career experience of internal auditing of core business processes is sought for a Lead auditor role in this professional services firm. You will have gained experience in managing an annual programme of internal audits and it is preferable you have done this in a corporate environment, ideally the legal sector. Working as part of the central business support function of the firm, this role will require you to develop and conduct management system audits across the firm, with specific coverage for Northern England, Scotland and Ireland. You will report on compliance Read more […]
Compliance Manager
Our client, a Global financial institution is looking for a Compliance Sanctions Manager within their MLRO function to join their compliance department. The individual would help provide support, guidance and advice to the business and senior management to develop and maintain regulatory standards to enhance and protect the reputation of the firm.Duties Include:· To be responsible for looking after sanctions regimes across all the business lines.· Liaise closely with relevant businesses and ensure that they comply with Sanctions imposed by the UK/EU/UN/US.· Read more […]
Chief Administration Officer
The Head of Compliance and Legal will ensure the firm’s compliance with FINRA, CFTC, SEC and other rules and regulations. Other duties include, but are not limited to:* Work closely with CEO and Senior Management * Implement and maintain all mandated processes and procedures * Manage and perform daily, weekly, monthly and quarterly compliance reviews * Oversee electronic trade reporting for futures, fixed-income and equity securities * Act as liaison to firm’s management to ensure appropriate support if needed for any and all litigation, arbitration, reparation proceedings and all other regulatory Read more […]
AML Manager
Our client, a Global financial institution is looking for an AML MI Reporting Manager to join their AML department. The individual would help provide support, guidance and advice to the business and senior management to develop and maintain regulatory standards to enhance and protect the reputation of the firm.Duties Include:· Produce management information reports for senior management and the MLRO surrounding the global businesses.· Review significant AML issues and take appropriate actions to resolve them.· Ensure the effective Read more […]
Anti-Money Laundering Reviews Manager
Our client, a Global financial institution is looking for an Anti-Money Laundering Monitoring Manager to join their compliance department. The individual would help provide support, guidance and advice to the business and senior management to develop and maintain regulatory standards to enhance and protect the reputation of the firm.Duties Include:· Support compliance assurance team in AML sanctions assurance reviews.· Support the compliance assurance team in identifying adverse trends, poor controls and systemic risks.· Implement AML monitoring Read more […]
Trade Compliance
Trade Compliance A top asset manager inBostonis adding to its Trade Compliance team, which is responsible for applying, monitoring and enforcing the compliance rules and guidelines of the firm and its clients. This role will require the performance and oversight of daily data integrity checks to ensure that the firm’s accounting and trading records are accurate. The individual in this role should have a firm grasp on equity and FX trading operations, corporate actions and the trade settlement process.Job responsibilities include: Ensure that all portfolio holdings and expected trades meet compliance Read more […]
Compliance Associate
A leading financial services boutique that is experience substantial growth in the UK and internationally over the last few years is looking to hire a junior compliance associate to support the compliance team in providing advice, support and oversight to the business.The firm has positioned itself well to take advantage of the changing structure of financial services business and offers a rare opportunity to join an established but expanding business in its relative infancy.They are looking to hire a junior compliance associate to integrate into the current team where you will have exposure Read more […]
Legal Counsel
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 $23.441 trillion in assets under custody and administration and $2.065 trillion in assets under management at September 30, 2012, State Street operates in 29 countries and more than 100 geographic markets and employs 29,650 worldwide. For more information, visit State Street’s web site at www.statestreet.com.Promoting a culture of excellenceWith more than 29,650 employees across Read more […]