Operational Risk Manager
This unique and challenging role sits embedded within the business in the first line of defense, and forms part of the Global Risk Management team. Your main responsibilities will include:- – Forging strong relationships and communication channels with the Retail Credit Risk business and also the second and third lines of defense.- Managing multiple projects and tasks relating to Operational Risk requirements – such as monitoring and testing of existing controls and processes. Re-engineering of policies and procedures, providing training to staff, Key Risk Indicator (KRI) reporting, Incident and Read more […]
Internal Audit
3 roles as Assistant Manager / Manager / Senior Manager – Internal Audit with my client – a global business consulting internal audit firm based in Kuwait, is available immediately. The client is boosting its Internal Audit team, and looking out for an experienced candidate to join its team. The candidate will have a regional remit and will work closely with the Managing Director, and Head of Banking Financial Services team. It is a great opportunity for candidates who are looking for challenging job assignments and greater career exposure to join a leading firm with extensive presence across Read more […]
VP/DIR, FICC Compliance, Global Investment Bank
Reporting to the regional head of compliance in the region, your team will be responsible for – Provide compliance support to the business and assist with regulatory and compliance issues relating to FICC business activities;Lead the compliance review of new transactions and new products;Develop and maintain compliance plans, policies and procedures Liaise with the relevant regulator and handling regulatory inquiriesManage the team in the monitoring and surveillance activities;Carry out ongoing assessment of the compliance framework operating within the business and ensure adequate controls are Read more […]
Compliance Associate | Market Surveillance | Hong Kong
A role as Compliance Associate – Transaction Surveillance with my client – a top-tier corporate and investment Bank based in Hong Kong, is available immediately.It is a great opportunity for candidates who are looking for challenging job assignments and greater career exposure to join a leading bank with extensive presence across the globe. My ideal candidate would have an excellent understanding of compliance policies and procedures, appropriate to a financial services environment. Other requirements for Compliance Associate – Transaction Surveillance include:Between 2 to 5 years of compliance Read more […]
Senior Corporate Lawyer, UBS Investment bank
Corporate Legal Providing commercial legal advice as required within the Investment Bank (IB), including cross business or new business initiatives which fall outside the scope of transaction specialists. Providing back up legal support to Junior Corporate Lawyer as required. Providing regulatory advice – legal aspects of licensing and UBS’s regulatory requirements (including APRA, ASIC and member exchanges) Project specific work – including legal advice on cross border regulatory issues and provision of advice within IB regulatory framework and proposed regulatory initiatives Legal aspects Read more […]
Lawyer
Our client, a financial institution are seeking a qualified regulatory lawyer who has experience in the practical application of a Compliance program for an institution offering clearing and settlement services In this role the successful candidate will design, implement and oversee the compliance program for a new start up entity. It is an exciting position that will require a strong skill set in Financial Regulation including knowledge of FSMA, POCA, PIDA, AML and EMIR The successful candidate will have in excess of 3 years PQE gained within Private Practice or In-house. Exceptional candidates Read more […]
Interim Compliance Monitoring Manager, Asset Management
Responsibilities: Manage a team of monitoring staff to ensure accurate and timely reporting of findings Undertake and deliver timely monitoring of the group’s investment management operations Review client files to ensure they meet audit purposes Assist with the compilation of management reports and report all issues to the appropriate parties Review and assist with other monitoring activities Requirements: You will be experienced in compliance monitoring Your background will be from a high net-worth/private client background, at the very least from the wider asset management sector Supervisory Read more […]
Head of Regulatory Risk (Gas & Power Trading)
The Head of Regulatory Risk is responsible for overseeing, monitoring and reporting all aspects in regard to UK industry (and international if applicable) and other regulatory requirements and their changes and conducting the risk assessments and reviews and identifying the key regulatory risks the Company is facing. The Head of Regulatory Risk is required to have an understanding of the regulatory guidelines and legislation: 1. Related to electricity and gas industry as required by Electricity/Utility Act, Department of Energy and Climate Change, Ofgem, Elexon and any Read more […]
SENIOR REGULATORY RISK CONSULTANT
Description: Core-Asset Consulting is currently assisting our client, a leading provider of long term savings and investments, in attracting a Regulatory Risk professional with Investment/Asset Management experience. As a Senior Regulatory Risk Consultant, you will provide advice and expertise to the company’s wealth management and retail investment businesses in Edinburgh and London, and forge strong working relationships with colleagues across their UK business. Core Responsibilities: Significant regulatory risks and opportunities identified and researched; impact analysed, findings synthesised Read more […]
Executive Assistant/Legal Secretary – Investment Management
This role is a key hire in our executive support function. The successful candidate will be working with the board and senior managers ensuring the smooth running of the company. There is huge potential for a talented EA/LS to quickly gain significant areas of responsibility and be rewarded highly. Responsibilities: – Assisting the Executive Committee with preparation of documents, agendas and detailed reports for internal and external meetings. – Accurately taking minutes for several senior management meetings, and ensuring that action points are followed up on. – Diary management; scheduling Read more […]