Senior Compliance/Legal Manager: Boutique Multi Family Office: London recruitment
KEY WORDS: PRIVATE BANK; MULTI FAMILY OFFICE; MFO; COMPLIANCE; LAW; LAWYER; FSA; HNW; HIGH NET WORTH; UHNW; ULTRA HIGH NET WORTH; PRIVATE CLIENT; PRIVATE BANKING; KYC; TRUST RELATED; LEGAL; BOUTIQUE. Working out of their London office they are now looking for a strong candidate to cover Compliance/Legal issues, reporting into the CEO. Suitable candidates would not necessarily have been COO in previous roles, but rather should have a studied law, be registered with the FSA, and should have experience working in a compliance function. 5 years experience is a minimum, as a suitable candidate Read more […]
Senior Compliance – Insurance Broking recruitment
This mid sized Insurance Broker are seeking an experienced Compliance Manager.Heading up a team of 5 this role will play a key role in the firm’s Compliance function. You will report in to the Head of Compliance and deputise as required in their absence. This role will involve liaising with other Global offices and play a key role in the facilitation of the annual compliance plan. This will involve providing guidance to the business in regards to regulatory requirements, ensuring the business is updated in terms of the regulatory environment and the creation and embedding of relevant policy. You Read more […]
Senior Compliance – Monitoring recruitment
World-class Asset Manager looking to strengthen their Compliance team with a Senior Compliance Officer who could possibly assist in team management. You will be part of a small team and should be able to handle a broad range of responsibilities, whilst being a primary contact for Quant and Total Return Fund activities.Key duties:Improve compliance monitoring procedures and processes in compliance with Swiss and international regulations.Identify and report conflicts of interest arising from new products or business initiatives.Daily monitoring of adherence to investment guidelines and investment Read more […]
Senior Compliance/Legal Manager: Boutique Multi Family Office – Located in London recruitment
KEY WORDS: PRIVATE BANK; MULTI FAMILY OFFICE; MFO; COMPLIANCE; LAW; LAWYER; FSA; HNW; HIGH NET WORTH; UHNW; ULTRA HIGH NET WORTH; PRIVATE CLIENT; PRIVATE BANKING; KYC; TRUST RELATED; LEGAL; BOUTIQUE.Working out of their London office they are now looking for a strong candidate to cover Compliance/Legal issues, reporting into the CEO.Suitable candidates would not necessarily have been COO in previous roles, but rather should have a studied law, be registered with the FSA, and should have experience working in a compliance function.5 years experience is a minimum, as a suitable candidate should have Read more […]
Senior Compliance / Regulatory Lawyer recruitment
This is undoubetdly a challenging opportunity but one with many attractions. First there is the quality of the bank itself – a tier one entity and unquestioned number one in its core markets, one that is consistently profitable and that is run by experienced, highly knowledgeable senior management who have consistently demonstrated the ability to manage risk. The MD you’d report to would also be an extremely respected mentor and sponsor, a critical factor in both establishing yourself quickly in this role but also in terms of helping you realise future ambitions down the line.The role requires Read more […]
Senior Compliance – Private Banking recruitment
Our client, a prestigious, international banking house, is looking for a Senior Compliance Officer. You will report directly to the Head of Private Banking Compliance, and be part of a team of Senior Compliance Officers. In this role you will maintain very close contact with the Relationship Managers and be their point of contact for Compliance questions.Your area of specialisation will be Account Opening and Cross Border and you will monitor complex transactions. You will stay abreast of regulatory developments and play an active role in improving and updating internal Compliance processes.Our Read more […]
Senior Compliance – Europe – Insurance recruitment
This leading Global Life Insurance Company are seeking a Senior Compliance Manager to join their European Compliance and Regulatory Risk team.Reporting into the Head of Compliance and covering a variety of European locations and markets, you will play a key role in leading in the provision of commercially focused Compliance and Regulatory advice focused around Business Conduct. In addition you will play a key role in ensuring all Compliance and Regulatory requirements and issues are embedded and understood across European locations.The right person for this role will have strong Compliance and Read more […]
Senior Compliance – Sales & Trading recruitment
The UK affliliate of a US investment bank have commenced operations in London which will be the focal point of their European distribution channel. The business is a broker-dealer of fixed income products with a particular focus on high yield bonds.They are looking to appoint a senior level compliance specialist. Initially you will be working with the UK US management teams to obtain FSA status, setting the compliance policy and implementing procedures. After the initial stage is complete you will take day to day responsibility for sales trading in terms of advising, monitoring and the resolution Read more […]