Lawyer
Qualified lawyer with strong banking experience, ideally to include practical experience of investment banking sought by this prestigious financial institution. The ideal individual will be at least 4 years post-qualified and will have a strong knowledge of the UK regulatory environment. Experience from a bank or direct from practice will be equally considered. This is a high profile role that will suit a pro-active individual with excellent communication and relationship management skills. The proven ability to quickly assimilate new information is essential and will be complemented by a high Read more […]
Document Control / Client On boarding
UBS is a leading global financial services firm. Our Investment Bank is one of the world’s top global investment banking and securities firms, providing a full spectrum of products to institutional and corporate clients, intermediaries, government and hedge funds worldwide. Summary We are looking to find appropriate resource to undertake a regulatory project within UBS, the work will involve extracting client data from our systems and sending it in a secure format, to a third party consultancy. It also involves receiving the finished product back from the third party consultant and getting Read more […]
Asia Pacific Head of Capital Markets Legal
Bulge bracket investment bank seeks a senior lawyer to oversee the legal coverage for all capital markets deals originating out of Asia including management of a team of capital market lawyers. Applicants should have a deep familiarity with capital markets in Asia and will demonstrate the required technical and analytical skills suitable for the role and the ability to present sound and persuasive ideas in the areas of regulator change and capital markets throughout Asia and globally.As a guide applicants should have at least ten years’ post qualification experience at a recognised capital markets Read more […]
Fixed Income Lawyer
Jefferies is looking to hire a circa 7-9 year PQE lawyer with sales and trading experience with a primary focus on the fixed income OTC environment. The candidate should have the initiative and flexibility to support other sales and trading divisions of Jefferies including equities and futures as and when required. The candidate will report to Batoolah Dawreeawoo, MD, Head of Sales and Trading, Legal. This is an exciting opportunity to join an established and growing business and the ideal candidate will have experience with legal advisory work in the following sales and trading areas: Derivatives Read more […]
Global Bank
Global financial institution seeks a DCM lawyer to join its regional legal team based in Hong Kong. No language skills required although applicants must be able to demonstrate good DCM experience in a lead role at a law firm or investment bank. As a guide applicants should have between 5 and 10 years pqe experienceFor further information, please contact Hayden Gordine at Taylor Root on 2973 6333 or at haydengordine@taylorroot.comRef HG192910 Please note our advertisements use PQE/salary levels purely as a guide. However we are happy to consider applications from all candidates who are able to Read more […]
Training Officer / Trainer / CASS / Regulatory Change
The Company: Our client is one of the largest banking and financial services organisations in the world. The Role: Working with disparate stakeholders across the company in order to help facilitate and extract knowledge, helping to devise and create the training content and, in some cases, help deliver it too. Handle the learning and development needs in order to equip staff with the CASS knowledge and awareness to ensure understanding of regulatory obligations related to their specific role. Design a CASS learning path for specified target audiences and the appropriate methods and approach to Read more […]
Legal & Compliance Officer
An International Bank, currently with an expanding branch network in Australia, is seeking skilled energetic and highly motivated Legal Compliance Officer to join the Bank’s growing offices in Sydney. Candidates should possess appropriate tertiary qualifications with strong written and spoken communication skills in both English and Chinese. A competitive remuneration package will be offered for right skills and experiences. The primary function of this position is to assist the Business Unit Head of Legal and Compliance in the following areas: Ongoing development and maintenance of compliance Read more […]
Compliance Surveillance – VP
The primary function of this newly created role is to ensure that all surveillance activities are quality assured and that the framework that is developed is fit for purpose and best in class. The role requires someone with thorough knowledge of both Trade and Communications surveillance with the ability to review processes and procedures at a macro level. ResponsibilitiesTest the surveillance processes to ensure that are being adhered to Work with the surveillance managers to appropriately sample and report on alertsTake the lead in developing MI reporting Produce and deliver MI with KRI’s and Read more […]
Team Manager
Team Manager – Assurance Compliance Audit Manager | Leading Global Corporate Bank| London Location – London Salary – 70-100k + benefits bonus Description A leading Corporate Bank is looking for a Team leader to run a group within the Compliance Assurance Function. The position will be reporting directly into the Head of the group, with a dotted reporting line into the Head of Audit Compliance. The position will have direct management of a team of around 7 personnel and so it offers excellent managerial exposure. The roles responsibilities will includeContribute to an assurance methodology Read more […]
Capital Markets Regulatory Conduct SME
Principal Responsibilities ? Principally act as a designated expert in the field of wholesale conduct regulation. ? Lead thematic projects aimed at highlighting best practices and clarifying grey areas of wholesale activities in relation to wholesale conduct issues. ? Develop policy proposals to achieve the business strategic aims and outcomes, in-line with various regulatory risk/policy issues. ? Provide specialist guidance on the conduct of business rules for Capital Markets including how they need to be interpreted and applied to wholesale banking activities ? Take an active lead on both International Read more […]