Senior Compliance Analyst recruitment
Senior Compliance Analyst will report to Managing Director of Compliance and will be cross trained and able to assist in all of the various day to day functions of the Compliance Department. The Senior Compliance Analyst will be primarily responsible for implementing and monitoring the parameters of the various Lender programs as they relate to securities lending activities. These parameters consist of client requested parameters as well as regulatory parameters. They will also be the primary liaison within the company for Compliance related securities lending blocks. Major Duties and Responsibilities Read more […]
Senior Compliance Analyst recruitment
About Our Client Currently experiencing a rapid period of growth and bucking the trend within the financial services sector, this global diversified financial services organisation is currently looking for a talented Senior Compliance Analyst to join its Sydney based team.Job DescriptionSitting within the Asset and Investment Management arm of the business, this varied and high value-add role will see you involved in the following:Development and maintenance of compliance framework across the asset management businessAssist with the preparation of annual compliance planIdentify and monitor areas Read more […]
SENIOR COMPLIANCE ANALYST recruitment
Our client is a major global financial services provider engaged in investment banking, private banking and investment management services with an extensive international presence. To cope with their business expansion, they are seeking a professional to join them.Support the operation of the HK Compliance Program and be responsible for performing and overseeing daily monitoring of all trade activity for specific equity, fixed income and high income funds and accounts to ensure that their investment policy limitations are followed. Communicate client, regulatory, prospectus, board and internal Read more […]
Senior Compliance Analyst recruitment
Job Purpose: The role reports directly to the Senior Compliance Analyst, supporting both the LO and AI funds businesses, within a total team of 34. The Utility reports in through the head of hedge Operations in Ireland, with a dotted line to the Compliance Director locally. The team is responsible for processing subscription and redemption referrals from the LO and AI teams both to confirm minimum acceptance in respect of subscriptions and to review compliance with AML requirements for redemptions. The purpose of this role is to take on work which is migrating into Dublin from other regional offices. Key Read more […]
Senior Compliance Analyst recruitment
An established and respected Lloyd’s Managing Agent is looking for an experienced Senior Compliance Analyst to support the business and ensure compliance with regulatory requirements. This is a new position reporting into the Senior Compliance Manager, within a small team where you will support them in the day to day running of the Compliance function by performing a range of ‘business as usual’ functions. Responsibilities: Assessing and implementing regulatory requirements that apply to the business and managing any regulatory issues that arise from new business initiatives.Provide Read more […]
Senior Compliance Analyst recruitment
This international Insurance and Re-Insurance company are looking to appoint a Senior Compliance Analyst to join their growing team.This role will work closely with the Compliance Manager and play a key role in assessing and implementing Compliance and Regulatory requirements across the business. You will play a key role in the provision of advice and guidance to the business and will work directly with Senior Management and Underwriters ensuring that Compliance requirements are understood and successfully embedded. You will also be responsible for providing Compliance training around TCF, Financial Read more […]
Lloyd’s of London Broker – Senior Compliance Analyst recruitment
A market leading managing agent of the Lloyd’s Insurance Market is looking to recruit into their compliance department based in the City. The Senior Compliance Analyst will join a highly reputable insurance and reinsurance organisation, and will work closely with the business to ensure regulatory conformity, monitor business activity, aswell as to provide advice and guidance on all regulatory matters.ResponsibilitiesTo ensure that all policies and requirements are embedded within the business, with guidance relating to regulatory conduct appropriately relayed to all units.To provide training Read more […]
Senior Compliance Analyst recruitment
The role;To assist the Surveillance Manager in the planning, execution and documentation of risk based compliance monitoring programmesAdminister the firm’s policies and procedures to ensure compliance with the FSA Financial Promotions regime, and to approve Promotions under these procedures.Liaise with and provide advice to other control and business areas.Assist the Head of Compliance and Compliance Managers with other tasks as required.To review and monitor existing internal policies and procedures and to assist in the revision, design and implementation of new systems and procedures to enable Read more […]
Senior Compliance Analyst recruitment
Prestigious global fund manager seeks a compliance professional to support the operation of the UK compliance programme, overseeing monitoring of all trade activity for funds.Applicants will demonstrate excellent academics, a high level of intellectual curiosity and a sound investment compliance background. This is a senior role requiring a high level of technical regulatory knowledge, together with leadership ability and superior communication skills gained from an international environment.This is a new role and as such the incumbent will have the opportunity to forge their own career path within Read more […]
Senior Compliance Analyst recruitment
A Global Investment Management Firm is seeking a Senior Compliance Analyst that has a solid understanding of the Investment Adviser’s Act of 1940. This individual will conduct reviews under the firm’s annual review program pursuant to Rule 206(4)-7 of the Advisers Act which includes conducting reviews of the Group’s policies and procedures as included in the Compliance manual. The Firm is seeking a generalist (someone who can wear many hats).Responsibilities include: Help in running monitoring program Handle reviews for hiring manger to sign off Read more […]