Head of Compliance Governance & Risk
Our client, a global financial institution is looking for a Head of Compliance Governance Risk to manage a team in helping to ensure that the firm meets its regulatory obligations. The individual would help to identify and mitigate risks across a diverse number of businesses and help promote a proactive regulatory culture. Duties Include: Manage a team in conducting reporting, risk and control to deliver on compliance control assessment objectives across the business. Regularly assess the adequacy and effectiveness of relevant reporting processes function is in place to monitor the business. Read more […]
Control Room Officer (Standard & Poor”s Ratings Services)
Job DescriptionControl Room Officer – Standard Poor’s Ratings ServicesMcGraw Hill Financial is a high-growth, high-margin benchmarks, content and analytics company serving the capital and commodity markets.We are home to some of the most iconic brands in finance and business, including: Standard Poor’s Ratings Services, SP Capital IQ, SP Dow Jones Indices, Platts, J.D. Power Associates, McGraw Hill Construction and Aviation Week. Our independent credit ratings, indices, analytics, price assessments and research provide clients with the essential intelligence to manage risk and identify opportunities Read more […]
Corporate Secretarial Assistant
Reporting to the Deputy Secretary this role requires a self starter who is confident dealing with internal/external clients at all levels. Good time management and knowledge of Word, Excel and PowerPoint are vital. Assist the Deputy Secretary with FATCA compliance and Legal entity management worldwide. Assist the Deputy Secretary and colleagues in the Legal Compliance team in the provision of a full corporate secretarial support for the Group. Assist the Deputy Secretary and colleagues in the Legal Compliance team with compliance with global regulatory obligations, notifications and filings. Read more […]
Senior Consultant Regulatory Policy and Implementation
A top tier Investment bank require a senior compliance candidate to undertake this assignment. Key responsibilities; Continuous review of regulatory compliance framwork Develop best in practice standards, policies and procedures to ensure the bank remains compliant GAP analysis of the regulatory compliance risk and potential impacts Key Skills; Wealth management or private banking experience Strong awareness of regulatory environment Ability to liaise with regulators Problem solving skills Motivated and enthusiastic If you are interested and feel you have the relavant experience please Read more […]
Equities Compliance Officer
Position Description Job Title: Equities Compliance Officer – RSP and Derivatives Product HeadLevel: Vice President / Executive Director1. Job overview:As a senior member of the EMEA Equities ECM Compliance team, the focus of this role will be providing advisory services to Morgan Stanley’s Retail Structured Products and OTC Equity Derivative businesses in EMEA. The role may also include oversight of the established Compliance programme supporting the Equities division’s wealth management business in Switzerland; which will depend on the experience of the candidate. Morgan Stanley has leading Read more […]
Technical Manager T&D Job
Technical Manager TD (Job Number: 1311344)BNY Mellon is a global financial services company focused on helping clients manage and service their financial assets, operating in 36 countries and serving more than 100 markets. BNY Mellon is a leading provider of financial services for institutions, corporations and high-net-worth individuals, providing superior asset management and wealth management, asset servicing, issuer services, clearing services and treasury services through a worldwide client-focused team. BNY Mellon is the corporate brand of The Bank of New York Mellon Corporation. Additional Read more […]
Due Diligence Officer
We’ll count on you to manage a small team of New Business Officers, preparing, reviewing and signing off on low and medium-risk new account files – while ensuring all regulatory and internal process requirements have been met. And when you become part of Coutts, you become part of a world-renowned service that helps clients from all across the globe. Coutts Coutts is a large and diverse organisation operating in many different areas of private banking and wealth management. For more than three centuries we’ve been placing trust and relationships at the heart of what we do. When combined with Read more […]
Sanctions Manager
Working for a European Banking Group based in London, my client is looking for a senior AML Policy/ Sanctions specialist to work on a specific Sanctions project. Current legislative knowledge is essential. 10 week project role which could go on longer as the AML remediation project evolves. Working as part of a team of 3 in a larger AML team of 30.Hays Specialist Recruitment Limited acts as an employment agency for permanent recruitment and employment business for the supply of temporary workers. By applying for this job you accept the TC’s, Privacy Policy and Disclaimers which can be found at Read more […]
Compliance Analyst
Trading Reviews/Forensic Testing Review and enhancement of forensic testing for trade related polices (e.g. allocation of investment opportunities, trade target, etc.). Point person for follow up and documentation for Portfolio Manager Trade Rejections. Point person for following up and documentation for Trader Conflict exceptions. Develop, test and own monitoring for Window Dressing and Portfolio Pumping. Review Performance Dispersion reporting. Investment Research Meetings Expert Network Analysis Review reporting to monitor for potential misuse of material non-public information (MNPI) for Read more […]
Director Business Transformation
Director Business Transformation Description This position oversees the planning and implementing of strategic finance projects (may be enterprise-wide) to improve operational efficiencies across business lines and functions and the elimination of duplicate processes, operations and systems, to decrease overhead in line with targets. This role will have a strategic focus and will focus on critical and complex business transformation solutions, including processes, program and project management, and off-shoring of jobs where relevant. This position will work closely with initiative sponsors Read more […]