An opportunity has arisen for a Compliance analyst within a top-tier Institution’s Investment Banking division. The role will focus particularly on the EMEA remit of the division. Responsibilities Researching and give appropriate levels of response to enquiries made be the FSA and other regulatory bodies. Responding to internal compliance enquiries with regards to potentia...
Compliance Advisory Executive An opportunity has arisen for a Compliance Executive for a leading, global Investment Bank. The role will have primary responsibility for advising across the organisation’s business lines in accordance to regulatory change. Responsibilities include: To oversee the Compliance Monitoring programme for the business and carr...
Compliance Manager: Governance & Control (YC1477) An opportunity has arisen for a Compliance Manager for a leading Investment Bank, within the Governance and Control team. The role will involve the co-ordination of different Compliance departments to ensure regulatory policy is followed. Role & Responsibilities Managing the Regulatory framewor...
An opportunity has arisen for a Front Office Compliance Manager in a top global Asset Management firm. The role with be working with the Compliance Advisory team and providing local regulatory advice and support to all business areas. Key Responsibilities Assisting Line Managers to comply with all regulatory policy, and supporting the business by providing advice and guidance with regar...
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Date: Today
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China,
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Salary negotiable
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6 applications
Organisation Description Our client is a reputable US Medical Device Company. • Reputable MNC • Stable Career Path • Good Team Leader Job Description Reporting to Head of legal and Compliance Officer, Great China. The Trade Compliance and Contracts Manager owns the business processes for ensuring that US, Japanes...
Organisation Description Our client, a national Investment Management firm is currently in need of a Compliance Monitoring Manager. Job Description The successful candidate will be responsible for and have experience in: - Undertaking monitoring reviews and monitoring remedial action. - Assist in developing and delivering risk based compliance monitori...
Our client is a major investment funds operation based in the City. They have an opportunity for an investment funds Compliance Manager with expertise in relevant FSA regulations for collective investment schemes. You will provide authoritative regulatory advice to the business as regards latest regulatory developments and identify / implement compliance policy and handle queries on the various rulebooks such as COLL, CASS and COBS. ...
Organisation Description My client, a global financial services outsourcing organisation, is offering the opportunity for a Process Quality Checker to join an ongoing PPI complaints handling project at a major bank in Leeds city centre. The role is a fixed term contract running from May - December 2013. Job Description Your responsibilities will ...
Organisation Description My client, a global financial services outsourcing organisation, is offering the opportunity for a Change and Root Cause Analysis Quality Assurer to join an ongoing PPI complaints handling project at a major bank in Leeds city centre. Job Description Your responsibilities will include: - Supporting co-workers through checking and feedback to as...
There’s no big hidden secret to our success. It’s all down to each and every one of our 670 talented people. All working together, looking out for each other, doing the best for each other and our clients. It’s fair to say that as a leading UK law firm teamwork is in our nature and enables us to provide an excellent service to all our clients. As part of our commitment to professional service standards we have an exciting opportunity...
Our client is looking for a Graduate with Trade support, Operations or Compliance experience to work in their Derivatives Trading monitoring team. Ideally you will have some exposure in the work place to derivatives, futures and options trading/broking. Preference will be given to those candidates with work experience in the financial markets. The position will be based with the Market Oversight team with the main functio...
Package: Up to £45,000 PA (DOE) + Bonuses & Benefits Package Amigo Loans, part of the Richmond Group is one of the UK’s most successful and innovative lending businesses. Over an 11-year period, the Richmond Group has delivered staggering financial performance, customer focused products and an award-winning employee experience. Amigo, our newest brand, is a loan company with a simple idea - if yo...
Senior Legal Counsel HSBC who we are With over 7,200 offices in 85 countries, we are the leading international bank, delivering services and products to around 89 million customers worldwide. We combine extraordinary global reach with in-depth, hands-on local knowledge. That means we can provide people from different cultures and walks of life with the financial support they need. The suppor...
17 jobs matching this search were posted in the last week
Global Head of Wealth Management Audit HSBC who we are With over 7,200 offices in 85 countries, we are the leading international bank, delivering services and products to around 89 million customers worldwide. We combine extraordinary global reach with in-depth, hands-on local knowledge. That means we can provide people from different cultures and walks of life with the financial support the...
Salary: Attractive rate of pay An experienced Local Counter Fraud Specialist is required for an immediate start. To be considered for this role you must: Have at least 3 years experience of working as an LCFS within an NHS environment Have the ability to travel to different locations as and when required by the role Hold NHS Protection Valid Badge Be available for work immediate...
Due to growth this Tier 1 Investment Manager is seeking and Team Leader/Manager to lead a growing Investment Compliance/Guideline team. They are one of the most respected Investment Managers in the market and have a long and proud history. They manage in excess of £150 billion and are based in state of the art offices, close to public transport and amenities. The Role You will be working in the Investment ...
Due to growth this Tier 1 Investment Manager has a rare opportunity for an Investment Compliance/Guideline Analyst. They are one of the most respected Investment Managers in the market and have a long and proud history. They manage in excess of £150 billion and are based in state of the art offices, close to public transport and amenities. The Role You will be working in the Investment Compliance team cove...
Senior Compliance Manager HSBC who we are With over 7,200 offices in 85 countries, we are the leading international bank, delivering services and products to around 89 million customers worldwide. We combine extraordinary global reach with in-depth, hands-on local knowledge. That means we can provide people from different cultures and walks of life with the financial support they need. The s...
Our client is a large, fast growing global Financial Consultancy. We are currently resourcing for a number of Reviewers, to join an Investment Past Book Review project in Birmingham. The ideal candidate will have previous experience within Regulated file review and a thorough knowledge of Investement and Structured products. Required experience: 12 months minimum proven experience in investment file review</l...
Our client is a large, fast growing global Financial Consultancy. We are currently resourcing for a number of Reviewers, to join an Investment Past Book Review project in Birmingham. The ideal candidate will have previous experience within Regulated file review and a thorough knowledge of Investement and Structured products. Required experience: 12 months minimum proven experience in investment file review<...
An opportunity has arisen for a Compliance analyst within a top-tier Institution’s Investment Banking division. The role will focus particularly on the EMEA remit of the division. Responsibilities Researching and give appropriate levels of response to enquiries made be the FSA and other regulatory bodies. Responding to internal compliance enquiries with regards to potentia...
The London branch of a Private Banking and Investment Management group have an immediate requirement for a Compliance Officer to join their West End based offices. Based in luxurious offices, this is a firm with a history of success and a strong work-life balance culture. This role involves the management and development of the local compliance function; the London office activity spans Private Banking, Hedge Advisory / Fund of Funds...
Phones 4u have an exciting opportunity for a talented Compliance Manager to join our team, where you’ll be an integral part of ensuring our retail estate complies with key business processes in order to maximise business profitability. Through the analysis of data and reporting you’ll be responsible for identifying stores most at risk of non compliance to company polices and procedures, subsequently acting as a catalyst in their change thro...
As the compelling co-operative alternative within financial services, we believe in working together to create a great place to work, grow and develop. As our Management Function Co-ordinator, we hope you will too as you organise and deliver the operational planning, governance and budgetary management activity across our Commercial Partnership function. On a day-to-day basis, you’ll agree robust financial controls and perform budget plan...
A leading investment management firm are looking for a Compliance Policy and Guidance Consultant to join their team based in the South West. Successful candidates will be rewarded with opportunities for progression and a salary up to £40,000 plus benefits. The Compliance Officer will be responsible for supporting the policy and guidance, providing controls and processes to facilitate regulatory issues and to implement chan...
