SENIOR COMPLIANCE OFFICER recruitment
DESCRIPTION:Maintain and periodically update compliance policies procedures in line with evolving regulatory obligations and establish internal procedures to reflect the relevant requirements under DFSA AMI AML modules. Review of Membership Application forms and documentation for Members, Corporate Investors and CustodiansReview Business Rules and propose revisions as appropriate.Periodic review of the Member Compliance manual and procedures to ensure that they continue to remain relevantConduct the Annual Assessment program for NASDAQ Dubai Members through the annual submission of Internal Read more […]
Senior Compliance Officer recruitment
Our client, a well-established Investment Broking house based in Paris is seeking a Senior Compliance Officer to join their team and focus on Internal Control and Compliance missions. You will be involved in drafting control reports for all departments of the company from the back to front office and other central functions. As well as your day to day control duties you will also be given the opportunity to participate in global projects. The ideal candidate will have 3-5 years’ experience within compliance and internal control having previously worked for a Broker or Investment bank. You will Read more […]
Senior Compliance Officer recruitment
Leading Private Bank with a UK base in Mayfair has an opportunity for a senior Compliance professional. You will report directly to the Head of Compliance in Switzerland with a dotted line into the COO in London and play a lead strategic role in supporting the growth of the business. You will be the Compliance Officer (CF10) and Money Laundering Reporting Officer (CF11) and be tasked with developing and delivering a risk based compliance monitoring programme covering the UK regulated business. You must maintain awareness of regulatory developments whist assessing the impact and implementing changes, Read more […]
Senior Compliance Officer recruitment
Senior Compliance Officer The following experience and knowledge have been identified for this role: Five to Seven years of broker/dealer experience with at least two year in the compliance department preferred. Knowledge of regulatory rules, regulations and laws. Excellent understanding of broker/dealer activities, especially back office functions. Experience implementing regulatory changes which require programming and process changes. Ability to effectively communicate with programmers rule requirements and impact to systems. Technical writing skills desired. Identify new or enhanced regulations Read more […]
Senior Compliance Officer recruitment
Reporting to the Compliance Manager, the Senior Compliance Officer will be tasked with creating and effectively implementing and managing compliance policies and procedures as required by the UAE Central Bank. Additionally, the role will involve monitoring and assessing the adequacy and effectiveness of the measures and procedures put in place and taking action to address any deficiencies in the company’s compliance with its obligations.Also required of this position is the task of acting as the deputy central point of contact internally for all compliance related issues and co-operate and liaise Read more […]
Senior Compliance Officer recruitment
ROLE and RESPONSIBILITIES: Senior level compliance professional to manage Asia Pacific compliance program including: ? Develop/enhance compliance policies and procedures; ? Primary interface with Asian Pacific regulators ? Review of marketing materials and reports for funds (UCITS) and separate accounts in Hong Kong, Singapore and other Asian Pacific jurisdictions ? Advise business on Know Your Client and Anti Money Laundering requirements, and assist in resolution of KYC, AML and other distribution matters ? Monitoring and oversight of distributors, administrator and other business partners; Read more […]
Senior Compliance Officer recruitment
This is an excellent opportunity for a senior compliance professional to join a well established international payments provider in the Netherlands. The individual will have an extensive payments industry background within compliance. The successful candidate will join a two person team and will possess a deep understanding of scheme rules and payments.The primary focus of the role will be on the regulatory compliance side covering AML, BC and Compliance sanctions. The secondary focus of the role will be to look at the “controls” aspects of compliance. On the “controls” side the individual will Read more […]
Senior Compliance Officer recruitment
The Role Advising the Board and Senior Management of regulatory change and developments Establish and maintain a new system which tracks emerging regulations and activity Responsible for coordinating investigations, assessments and reporting to the FSA accordingly Establish and maintain the central compliance manual Management of a small team £70k-£85k basic salary – Excellent benefits and bonus Requirements At least 5 years compliance experience occupied in an Investment Management, Wealth management or Investment Platform business Proven experience in providing compliance advice, Read more […]
Senior Compliance Officer recruitment
This position is with a leading high frequency prop trading firm with offices in London and New York.We require a candidate with:• Must have a broad knowledge of regulated entities and compliance, regulated business environments and key regulatory issues especially as they relate to proprietary trading.• This knowledge will include a demonstrated and strong track record of success working directly with key stakeholders and individuals residing within the various regulatory bodies and agencies. • Must also have a balance of both strong technical skills, with particular emphasis on knowledge Read more […]
Senior Compliance Officer recruitment
Since its establishment in 1950, Canaccord has been driven by an unwavering commitment to building lasting client relationships. We achieve this by generating value through comprehensive investment solutions, brokerage services and investment banking services for our individual, institutional and corporate clients. Canaccord has 49 offices worldwide, including 32 Wealth Management offices located across Canada. Canaccord Genuity, the international capital markets division, operates in Canada, the U.S., the U.K., China, Hong Kong, Australia and Barbados.Canaccord Genuity Corp. (Canaccord Genuity), Read more […]