Legal Specialist
ITCSSL is part of Group Legal and is responsible for legal support and control in the following areas: IT, E-commerce and New Media, Supply and Demand Management, Intellectual Property, Offshoring and Outsourcing, Data Privacy and Protection and Real Estate. The ITCSSL EMEA team consists of 5 lawyers located in London and 1 lawyer located in Poland. The role requires legal expertise in information technology, outsourcing offshoring, commercial contracts and e-commerce/social media, together with a good working knowledge of data protection and intellectual property. The role will involve working Read more […]
Regulatory Engagement Manager
A leading Life Insurance Group is currently seeking a Regulatory Engagement Manager to work on a significant finance transformation programme. The role will be part of a newly established ‘internal consultancy’ which is aimed at managing the project portfolio across Group Finance. The team will be responsible for delivering major finance transformation programmes, which include solvency II, ECAP, IFRS 4 Phase II, as well as other strategic initiatives. Due to the nature of these programmes they require a high level of regulatory engagement (primarily with the PRA) and therefore this role 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 $25.74 trillion in assets under custody and administration and $2.15 trillion in assets under management as of June 30, 2013, State Street operates globally in more than 100 geographic markets and employs 29,225 worldwide. For more information, visit State Street’s website at www.statestreet.com.Promoting a culture of excellenceWith more than 29,225 employees across 29 countries, Read more […]
AVP- Compliance Testing & Quality Assurance
Responsibilities: • Complete and document QA and ComplianceTesting work. Make recommendations for improving processes across the global Compliance function • Assist the execution of the global end to end process for the roll out of the annual Compliance QA and Compliance Program • Work closely with the global team to execute coordinated QA and Compliance Testing amongst the three regional businesses • Assist with the continuous improvement of the QA and Conformance Testing Program from both an Read more […]
Mgr. Regulatory Reporting
This person will help in building the new Governance Quality Assurance function that’s critical to the Regulatory Reporting team. As part of this new regulatory environment, the Company will need to comply with new financial reporting requirements under the Fed. This person will help build the QA process that helps improve the quality of data in the Company’s regulatory filings. Additionally, the position will help transition the Company to address this new regulation and establish a business-as-usual reporting process to comply with the Fed requirements.Responsibilities:Work with Director of Read more […]
Paralegal, Officer
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 $25.74 trillion in assets under custody and administration and $2.15 trillion in assets under management as of June 30, 2013, State Street operates globally in more than 100 geographic markets and employs 29,225 worldwide. For more information, visit State Street’s website at www.statestreet.com.Promoting a culture of excellenceWith more than 29,225 employees across 29 countries, Read more […]
Regulatory Analyst – Market Regulation, Short Sales
The Regulatory Analyst conducts routine review and investigations of unusual market activity for evidence of violations of relevant rules and regulations enforced by FINRA. Essential Job Functions: Routinely analyzes trading activity in area of primary responsibility for indications of potential violative activity. Conducts routine reviews and investigations into possible violations of relevant rules and regulations enforced by FINRA relating to order handling rules and/or federal securities laws. Compiles and organizes information from a variety of sources to be used in the development of investigations Read more […]
Compliance Policy Manager
You will be responsible for working with the Group Risk and Compliance functions to assist the UK Heads in meeting their regulatory requirements. This role sits within the 2nd Line of Defence, which comprises of the Group Risk and Compliance functions. Responsibilities Monitoring changes in regulation and performing impact analyses. Drafting / updating regulatory / compliance policies. Conducting simulated supervisory reviews of parts of the UK businesses. Identifying, assessing and governing compliance risk. Providing support to the Compliance Managers, Compliance Officers, Compliance Monitoring Read more […]
Compliance Manager
Key responsibilities include:- Review and implement changes in regulations that will impact the business. Advise business stakeholders on new regulations. Conduct risk assessments on a timely basis to ensure compliance to regulations are adhered to. Reporting of Compliance breeches for senior management. Analysis of root cause of Compliance issues. Maintain gift and training registers. Review information access requests. Prompt response and management of information requested by MAS. Ad hoc projects. To be successful in your application you will have at least 6 years experience in a banking compliance Read more […]
Compliance VP, Global Equities Long short Fund
Reporting to the regional head of compliance, you will be responsible for all compliance matters pertaining to the Singapore. This will includeLicensingEnsuring adherence by local employees to company compliance policies and developing local policiesMonitoring and SurveillanceMaking regulatory filings inSingaporeand coordinating with MAS Working closely with FinanceMarketing materials review for AsiaAML complianceCompliance trainingThis is an exciting opportunity for someone who is interested in an empowered role with exposure to the business as well as opportunity to take ownership of the Singapore Read more […]