Technical Specialist Assurance Manager
You’ll foster proactive and professional relationships with the business, providing challenging insight in to areas of non-compliance and its causes. This role has the option to be based in Edinburgh, London or Warsaw. Corporate Security Services (Security and Fraud) seeks to work together to protect our business and our customers and to be an intelligence-led proactive team, proud to work collaboratively with the business to assess threats and drive risk-based decisions. In order to do all that we have seven specialist teams; Investigations, Co-ordination, Intelligence and Investigations (CII), Read more […]
Trade Compliance consultant required by Global Asset Management firm for a 6 month contract role
The client is currently going through a huge migration piece of work and are needing a consultant who has strong testing skills. Key responsibilities: • Translate IMA rules into plain English submit for coding to the new vendor • Testing of the rules, both comparison and scenario testing to legacy platforms • Ensure consistency of coding across all rules • Ensure all relevant rules are mapped to each portfolio • Develop workarounds for the rules that cannot be coded into the new system Key skills • Knowledge of UCITS and mutual fund rules required. Read more […]
Regulatory Analyst (6 Month Temp)
MG Investments MG Investments is Prudential plc’s UK based fund management business and is one of Europe’s leading active asset managers with more than £238.4 billion* of funds under management across fixed income, equity, property and multi-asset strategies. -*as at 31 March 2013OpportunityTo ensure MG fully meets the requirements imposed upon it under Insurance Company Legislation through regular monitoring of asset positions and completion of periodic Regulatory returns to ensure it continually adheres to those requirements. Key responsibilitiesRegulatory* Assist in the production of annual Read more […]
Compliance Assistant
Key Responsibilities: Diary management for London-based Compliance group members Arranging meetings – booking rooms, conference calls, refreshments Printing and distributing working/meeting papers Coordinating and managing travel plans – booking flights, hotels and obtaining visas Answering calls when compliance team members are away from their desks, fielding external and internal queries and referring them to relevant personnel Preparing expenses and liaising with the Accounts Department Providing assistance to new Compliance Group joiners and leavers, coordinating with premises and IT Stationary Read more […]
CF10a
: This role will have responsibility for the daily client money monitoring and regulatory reporting. CF10a designation with the FCA. Oversight of the firm’s financial books and records. Oversight of all procedures related to good financial controls. Preparation/submission of FCA financial regulatory reports. Implementation of controls over client assets and money controls in accordance with regulations. Research of new products. Development of functional business requirements for enhancements to existing financial, regulatgory and operational systems. Liaising with Treasury, Finance and Read more […]
Investment Control Manager
You will have responsibility for the day to day operations of the team across all asset classes and regions with real-time involvement into the investment process and working closely with key liaisons from across the business. In return you will be provided with a challenging and rewarding role in a dynamic environment and with a thriving culture. The preferred background for this role will have seen you work in an asset management firm for at least five years during your career, with more than two years experience monitoring investment restrictions. Candidates must: Be able to demonstrate experience Read more […]
KYC Subject Matter Expert
The objective of GBM Onboarding and Client Management Services (OCMS) is to provide Global Banking and Markets with a single, global on-boarding and account maintenance service that uses service company operating principles and a consistent service proposition to deliver high-quality client service, robust client diligence, and process excellence and standardisation across each on-boarding function from one integrated global team – services include: Know-Your-Customer (KYC) client identification and due diligence Welcome pack communications Client document negotiation Credit analysis and application Read more […]
GOC Support and Project Mgr I Job
GOC Support and Project Mgr I (Job Number: 1313098)DescriptionOverall responsibility to work with the Head of Global Control Management to provide general support for group activities as well as periodically coordinate and manage ongoing administrative, control and risk projects and initiatives; provide guidance to business teams on control projects; deal with business, audit, regulatory and client queries on centralized control and risk activities within CSD/IS and provide direction to CSD/IS teams on control related and other shared services requests. QualificationsBachelor’s Degree preferred. Read more […]
Managing Director-Miami
The role will also be accountable to drive sales, manage and lead an efficient, effective and profitable operation. The position entails ensuring that international tax-reporting of structures and services adhere to statutory/regulatory guidelines. Job Responsibilities: Primarily responsible for achieving entity objectives, preparing business plans and budgets. Provides commercial leadership with respect to all the marketing and sales activities in order to achieve the sales and revenue targets with a cross-cultural team approach Develops, expands and maintains multiple, solid relationships with Read more […]
Compliance Consultant 2 (Equity Compliance Consultant)
This position is within Wells Fargo Asset Management (WFAM) Wells Capital Management (WellsCap). Responsibilities include, but are not limited to: Monitors portfolio managers adherence to client guidelines, internal parameters, and statutory requirements on a pre-trade, post-trade, and batch basis within Charles River. Provide initial review and interpretation of client account investment restrictions (i.e. Investment Management Agreements, Prospectuses, Statement of Additional Information, Private Placement Memorandums, etc.). The ability to code restrictions and tests rules within Charles River. Read more […]
