Risk and Compliance Advisor
Work for a Market LeaderNewly Created Position – Due to GrowthProfessional and Personable Team of Risk and Compliance ProfessionalsA leader in the wealth management industry, this organisation is a respected employer of choice experiencing growth. Their current growth strategies have created the need for a new position for a suitably experienced Risk and Compliance Adviser This position requires a practiced and capable risk and compliance professional to be involved in a variety of risk management and compliance activities. A key element of this position is to be a change management relationship Read more […]
Administrative Assistant
We have an immediate opportunity for an administration assistant to join our Company Secretarial Division within our Legal and Governance Group in a full-time permanent position. This role could also suit a university student with the flexibility to commit to 30+ hours per week for an ongoing term. The role involves providing administrative assistance to the Company Secretarial Services team within the Division which has primary responsibility for the secretarial co-ordination of Macquarie’s Group subsidiary companies, as well as assisting with the day to day administration of the company registers.Key Read more […]
Compliance Australia, Anti-Money Laundering (AML) Group, Vice President
Position Description Morgan Stanley’s Anti-Money Laundering (AML) Group, an integral part of the global Legal and Compliance Division, is charged with day-to-day oversight and coordination of the AML and Sanctions Program covering all of the Firm’s various businesses globally, including Institutional Securities Group (e.g. Fixed Income and Commodities, Global Capital Markets, Institutional Equities, Investment Banking, Wealth Management and Research) and Investment Management .Morgan Stanley is currently seeking a driven and seasoned professional to assist the Head of Compliance in Australia and Read more […]
Compliance Examiner – Member Regulation, Sales Practice
Examiners review or investigate risk areas of broker-dealers, and allegations of wrong-doing or other non-compliant conduct to protect investors and ensure the integrity of the U.S. financial markets. This position requires excellent analytical and communication skills, consistently high productivity levels and work quality (frequently under tight deadlines), and a strong commitment to ensuring that the securities industry operates fairly and honestly. Essential Job Functions: Conducts examinations and other reviews related to FINRA member firms’ finances and operations; Read more […]
Regulatory Analyst – Market Regulation, Fixed Income Investigations
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 the relevant rules and regulations enforced by FINRA relating to fixed income markets and/or federal securities laws. Compiles and organizes information from a variety of sources to be used in the development Read more […]
Compliance Manager
This person will work closely with different businesses to mature their control environments, guiding business partners in their management of their Business Obligation and Action Plans, to:· deliver demonstrable improvements in the integrity of the different control environments; and· reflect and integrate regulatory change.This person will support the Head of Compliance to achieve robust results within resourcing constraints, and to skillfully manage the business partner experience in that context.This person will cultivate stakeholder relationships in the course of:· representing Compliance Read more […]
International Custodian Business Specialist
About Company PingAn Bank Co., Ltd. (abbreviation: PAB; stock abbreviation: PAB; stock code: 000001) is a new bank formed after the merger of former Shenzhen Development Bank Co., Ltd. (“former Shenzhen Development Bank” or “former SDB”) and former PingAn Bank Co., Ltd. (“former PAB”) through absorption. It is a national joint stock bank headquartered in Shenzhen. Ping An Insurance (Group) Company of China, Ltd. (“Ping An”, “the Group”), together with its holding subsidiaries, hold in total 2.684 billion shares or 52.38% of total equities of PAB, and therefore is the controlling Read more […]
Compliance Officer (Equity Research and ECM)
Your responsibilities will include the following:Research: – Daily validation of Research reports- Monitoring of analysts’ communication with corporates, investors, sales forces ECM: – Compliance monitoring of ECM deals (IPO, RI, ABB)- Maintenance of regulatory lists (watch lists, insider lists, etc)Generic: – Business advice and support to Analysts and ECM team- Training- Contribution to performing the Research ECM Compliance monitoring program- Contribution to definition, understanding and application of internal policies and procedures- Preparation of monthly reports to the ManagementThis is Read more […]
Compliance Manager, 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 […]
Director Advisory
Wealth Management Compliance Advisory Role: Director Wealth Management Advisory Company: Leading Wealth Management firm Salary: Upto £100,000 Location: City of London A leading wealth management firm is looking for an Executive Director in compliance advisory. The role is managing a team of 5 people and will be responsible for advisory. Responsibilities of the role include: Identification of compliance risks and the provision of solutions and methods to detect, prevent, mitigate, and or respond to such risks. Analyse and report on trends and regulatory developments to ensure Compliance services Read more […]