Senior Compliance Manager recruitment
Purpose of the job:The role of the Compliance unit is to assist Management in ensuring to a reasonable extent and on a Bank-wide basis that the activities of the BIS and its staff are conducted in conformity with the laws and regulations applicable, the BIS Statutes, the Bank’s Code of Conduct and any other relevant rules and policies, and, more generally, with sound practices pertinent to those activities. On the basis of the Bank’s Compliance Charter, the compliance function identifies and assesses compliance risks, guides and educates staff on compliance issues, and performs a monitoring Read more […]
Senior Compliance Manager recruitment
A leading financial services firm specialising in Market Making is looking for a senior compliance professional to look after the company’s electronic trading from a compliance perspective. The firm is massively profitable and can offer a fantastic working environment.This role will be challenging and diverse and the post-holder will be expected to:Monitor the electronic trading activities and ensure compliance will all applicable rules and regulationsWork closely with the business to ensure these rules are clearly understood and all necessary checks and balances are in placeStay up to date with Read more […]
Senior Compliance Manager recruitment
RoleRole will be to support the Banks Compliance strategy by delivery of the Compliance plan and objectives. The Compliance Manager will be required to help lead a team of managers, setting objectives aligned to the delivery of the Compliance plan as well as performing a coaching and development role.The jobholder will be responsible for enhancing the compliance culture within the organisation by developing and managing effective relationships with key business areas/stakeholders at all levels within the organisation.Work closely with the Compliance Director, Head of Product Technical and other Read more […]
Senior Compliance Manager recruitment
A Big 4 Retail Bank is seeking a Senior Compliance Manager. The Senior Compliance Manager will be required to lead a team of managers, setting objectives aimed at the working to the framework of the Compliance plan as well as coaching and developing the team.ResponsibilitiesThe successful candidate will be responsible for building upon the understanding and requirements for Compliance within the team and within the organisation by developing and managing effective relationships at all levels. This will include formal stakeholder engagement, including identification and escalation of Read more […]
SENIOR COMPLIANCE MANAGER recruitment
He/she will be involved in assisting the business to identify measure and manage risk and obligations, and undertake appropriate monitoring of relevant controls. The role holder will also contribute to instilling a risk management and compliance ethic within the business and will , ensure that the firm’s employees understand and appreciate the role of risk management and compliance from a wider perspective.Sound business acumen coupled with a detailed awareness of the regulatory environments in global Asset Management are required to successfully undertake this position.Core Responsibilities:Assist Read more […]
SENIOR COMPLIANCE MANAGER recruitment
Responsibilities:• advise management and assist the compliance functions in complying with all relevant external regulations and internal codes and policies and good market practices. Apart from business specific rules additional responsibilities include Anti-Money Laundering (AML), sanctions, and anti-bribery • assist the Compliance ASP teams in managing relevant regulatory issues (e.g. MPF) • undertake ad hoc projects, as required by/agreed with the Head of Compliance, ASP • help line management meet responsibilities for complying with applicable Regulations and thus protect the Read more […]
SENIOR COMPLIANCE MANAGER recruitment
The job holder has compliance responsibilities specifically for the FSA regulated subsidiaries of the Company in order to ensure that each firm establishes and maintains effective and adequate Systems and Controls to ensure compliance with all applicable regulatory and legal requirements and standards and adheres to market practice where appropriate. The role incumbent is also responsible for maintaining an open and co-operative relationship with the FSA and other regulatory bodies. The primary purpose of the role is to provide Compliance oversight of and day to day advice on regulatory policy Read more […]
Senior Compliance Manager recruitment
The core responsibilities of this role will include:1. Develop and maintain compliance policies in accordance with in house policies and procedures to prevent unethical, illegal or improper conduct. 2. Develop and maintain the compliance monitoring program, supervise periodic reviews and report findings to Management. 3. Review and update relevant rules and regulations, based on updates from Regulators or Head Office. Provide guidance to staff and senior management where necessary in relation to the details and implications of such updates. 4. Investigate thoroughly any alleged violations of policy Read more […]
Senior Compliance Manager recruitment
The Senior Compliance Officer will be responsible for the following:* Support the Chief Compliance Officer * Advise all business lines as to compliance with applicable laws and regulations* Monitor business activity and employee conduct* Control Room compliance* Electronic Communication Review* Gifts and Entertainment policy* Conflicts of Interest* Project Management The successful candidate will meet the following qualifications:* Advanced Degree (MBA, JD)* 10+ years compliance experience* Experience with project management and software tools* Strong negotiation skills* Series 7 required and Read more […]
Senior Compliance Manager recruitment
The main duties for this role include:- Assisting the Chief Compliance Officer and the Compliance Director across all compliance areas.- Oversee and supervise the compliance function in the overseas offices, which includes joint ventures.- Supervise and manage the regulatory compliance related to licenses and registration in overseas jurisdictions i.e. US.- Manage and implement regulatory frameworks, policies and procedures which affect the group.- Advise Senior Management and handle enquiries from other departments on all compliance related issues.- Keep up to date on all regulatory changes and Read more […]