REGIONAL HEAD OF EMPLOYEE TRADING & INFORMATION BARRIER – SURVEILLANCE, COMPLIANCE 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 an outstanding Compliance professional to join them.Coordinate regional compliance oversight of policies and procedures which govern Employee Trading and Information Barrier Surveillance. Proactively assess surveillance results and to identify control concerns or surveillance weaknesses. Assess the effectiveness of established Compliance Surveillance and work with Read more […]
Compliance Monitoring / Surveillance – Contract recruitment
Our client, a well known Fund Manager is keen to speak with Compliance Monitoring / Surveillance specialists for a 12month contract opportunity. Experience within a Fund Manager a plus as would knowledge of Property/Real Estate fundsJob DescriptionSupport Compliance Monitoring in providing a robust 2nd line of defence review of the controls and processes operated by the Group and its outsourcers in the 1st line of defence. To assist the task allocation within the Compliance Monitoring team in the EMEA and to work closely with Internal Audit to ensure that tasks are assigned and timetabled to maximise Read more […]
Surveillance/ Regulatory Manager recruitment
The clients UK Regulation department is responsible for regulating all the markets operated by the client. The department oversees secondary market trading, to ensure it is orderly, and monitors the markets for potential market abuse, market manipulation and breaches of the client’s rules. From a primary market perspective the department acts as ‘competent authority’ for AIM, regulates the Nomads and manages the AIM rules as well as controlling admission to the Main Market. Responsibilities Management and day-to-day running of the Surveillance Team covering both Cash Read more […]
AVP – Surveillance/Compliance recruitment
The primary function is to conduct surveillance against Employee, Customer and Proprietary Accounts to detect potential insider trading, market abuse, and/or violations of the Firm’s Trading Policies, as well as project-based work. Conduct daily surveillance of Proprietary, Customer and Employee’s trading activities to ensure compliance with the Firm’s Watch Restricted Lists, Front-running and Insider Trading policies.Perform research and investigations to identify the reason for potential violations.Document research results and escalate violations and/or suspicious activity Read more […]