Fixed Income Compliance VP
Our client is looking for an experienced Fixed Income Compliance VP, the individual’s responsibility includes but is not limited to the following:Provide advisory coverage for the fixed income sales Trading desk on transactions, trade issues, compliance policies and procedures, and regulatory requirementsActive pragmatic involvement with business partners on new product initiatives to drive compliance issues and considerationsConduct monitoring and surveillance of tradesInteract and manage relationships with regulatory agenciesMonitor for new regulatory developments and determine their impact Read more […]
Global Chief Compliance Officer
The ideal candidate will be a highly regarded professional in the global compliance community who exemplifies the appropriate “tone from the top,” an effective coach (leader/manager), and a team player. This candidate will have a reputation for impeccability and integrity as well as a track record of success in developing and implementing the compliance function across offices and jurisdictions. The candidate should be attuned to issues of reputational risk, and have demonstrated the exercise of sound judgment unvarnished by ego or by the momentum of immediate events. He/She will have significant Read more […]
Operations Risk Analyst
My client is looking for an Operations Risk Analyst to join their Risk Control and Operational Risk department. Please be advised that this position is a three month contract and is located downtown Toronto. The Operations Risk Analyst will be responsible for developing strategies and processes to demonstrate hedge effectiveness within the companies financial guidelines, as well as attribute to financial forecasts that will impact risk assessments, and maintain the company governance framework to ensure effective delivery of key programs. This position is responsible for providing support to Read more […]
Manager, Financial Reporting
My client, a leading trust company in Toronto is looking for a Manager of Financial Reporting to join their team. This newly created role has been created as the company is experiencing impressive growth. This job is located in Downtown Toronto. The primary purpose of this role is to manage the processes around and preparation monthly, quarterly and annual external reports to both regulators and shareholders ensuring high quality, compliance with accounting standards and regulations (i.e. IFRS, OSC and OSFI requirements) and timeliness. The external reporting process includes development and maintenance Read more […]
Newly Qualified Lawyer – Financial Services In-house
A leading player in the shadow banking system that have experienced massive growth over the last few years is looking to hire a newly qualified (NQ) lawyer to join their successful legal team.The business has grown to over 65 people in under 5 years and is now looking to move to its next stage of growth with international expansion in USA and Asia. Business lines include hedge fund, investment management, structured products, stock loan, sub custodian and institutional brokerage. The niches within the business have all proved to be extremely successful and the business has established a very Read more […]
Senior Compliance Monitoring Manager
The Opportunity:• This is a dedicated role concerned with the implementation of the accurate and effective capture of client and fund mandates into LZ Sentinel • Working within a high profile and well respected team / business function, this position has lots of exposure to the business, namely fund managers, transition teams, product management, compliance etc. This team is considered the “subject matter expert” within the business and the profile of the members is high • A large proportion of your time will be spent ensuring the smooth running of the transition process, ensuring that Read more […]
Senior Compliance Officer
Senior Compliance Officer – Investment ManagementThe Role: This role is going to suit an ambitious compliance person with lots of energy, personality and gravitas as the successful applicant will be working across the business and closely with senior management in a broad role.* Providing compliance advice to all business areas ensuring relevant awareness. * Assist the Head of Compliance with regulatory visits * Review and maintenance of policy and procedures * Compliance input in relation to new product launches * Regulatory change and development advice across the business, including senior Read more […]
Manager, Corporate Governance
Prestigious financial institution seeks an experienced and effective people manager with a solid grounding in corporate governance , ideally gained from a banking or other financial services environment to undertake a high profile and externally facing line management role.This is a multi-faceted corporate governance role requiring the successful candidate to be responsible for process analysis and continuous improvement in a complex documentation-centric environment whilst managing relationships with a wide variety of internal and external stakeholders and representing the firm at a range of external Read more […]
Audit Manager
This is an excellent opportunity that will allow you to work closely with a highly regarded team of Financial Crime specialists who have built a strong reputation within the business and can offer you the scope to learn and progress your career.You will be responsible for providing high quality audit expertise and skills specifically in regards to Sanctions and Financial Crime risk. You will be involved with a portfolio of audits which are complex and cross divisional, helping test internal controls, agreeing control improvement and providing independent assurance in order to enhance the control Read more […]
Examiner
The Examiner position is responsible for independently conducting announced and unannounced on-site inspections of assigned LPL Financial branch offices. The branch exams are focused on the sales practices of each individual advisor and the books and records requirements of each office to ensure adherence to compliance with all applicable regulations. The examiner will consult with branch managers, advisors and support staff and provide direction on maintaining branch offices in accordance with federal and state regulations, FINRA and other SRO regulations and LPL Financial policies and procedures. Read more […]