Compliance/Legal: currently 676 jobs.The latest job was posted on 23 Apr 14.
Compliance/Legal: currently 676 jobs.The latest job was posted on 23 Apr 14.
The successful candidate will be experienced in the regulatory space, have a strong Financial Markets understanding and a knowledge of Financial Products
-Assist in the production of annual and quarterly Regulatory returns -Monitor Regulatory investment restrictions -Daily Mifid Transaction reporting to the FCA -Delivery of Solvency II data on a monthly basis -Investigate breaches of investment restrictions. -Assist with the interpretation and application of existing Insurance Company Legislation and any amendments arising in the future -Continually monitor and improve, where necessary, th
Our client, a global Investment Bank, is looking for a Regulatory Business Analyst to join their investment management arm for an initial 3 months. The successful candidate will have previous regulatory experience around EMIR and end to end experience of trade reporting.
Provide experienced regulatory analysis around EMIR Gather business requirements against collateral and valuation reporting, trade work flow, and collateral processing Gather business requirements against segregation margin account requirements and changes to the collateral
Please view Job Description for details.
Job Description Working for a global trade surveillance unit, you will be responsible for analysis and investigation into alerts generated by automated and adhoc surveillance solutions and processes. You will be required to work closely with the global team members to make the trade surveillance program as robust and meaningful as possible. Key Roles & Responsibilities - Daily analysis & investigation into alerts generated by Automated Trade Surveillance solutions, across Fixed Income, FX, Commodities and Derivatives
Based in the heart of the City of London , the firm has significant assets under management in all major asset classes
*The role has global dimensions involving projects in all major jurisdictions *This Advisory function sets the benchmark for effective advisory practices within the group , providing support and advice to the business on regulatory , risk and control , as well as business change and regulatory projects *The firm is keen to connect with individuals from asset management or wealth management backgrounds , who also have the credibility an
This is a great opportunity to join a leading global fund management business working within the retail business on global distribution activities.
This is a great opportunity to join a leading global fund management business on a one year maternity cover contract. This position will sit within the retail business and you will be responsible for negotiating, drafting and agreeing distribution contracts with third parties in addition to analysing legal and regulatory requirements pertaining to such agreements. The ideal candidate will have a legal qualification and between 1 and 4 yea
A Passion to Perform. It’s what drives us. More than a claim, this describes the way we do business. We compete to be the leading global provider of financial services, balancing passion with precision to deliver superior solutions for our clients.
The GTB AML Compliance Officer is responsible for establishing baseline practices for new and modified AML investigation processes, responsible for conducting AML investigations that fall outside of standard operational activities, writing Pre-SARS for escalation purposes and responsible for supporting on-going calibration and tuning exercises. Drafting Pr
Deutsche Bank “Best Global Investment Bank 2010” A Passion to Perform. It’s what drives us. More than a claim, this describes the way we do business. We compete to be the leading global provider of financial services, balancing passion with precision to deliver superior solutions
for our clients. This is made possible by our people: agile minds, able to see beyond the obvious act effectively in an ever-changing global business landscape. As you’ll discover, our culture supports this. Diverse, international and shaped by a variety of different per
Responsibilities • Draft, review and maintain policies and procedures relating to BRM activities to ensure BRM procedures adhere to Fitch policies • Ensure all updates to BRM policy and procedure including documentation and forms adhere to Fitch policies and regulations maintained in the Fitch Regulatory Compliance Database
Responsibilities • Draft, review and maintain policies and procedures relating to BRM activities to ensure BRM procedures adhere to Fitch policies • Ensure all updates to BRM policy and procedure including documentation and forms adhere to Fitch policies and regulations mai
JP Morgan Private Bank requires a Compliance Officer working within the Advisory team to cover overflow of queries relating to the private banking products.
The individual will provide general support to the Private Bank businesses conducted in the region and will focus on general private banking activities and other investment products. Key responsibilities * Assess and analyze Compliance and Regulatory issues; * Assess and analyze the impact of proposed new products, services and procedures; * Assist business management in the development of policies and procedures designed to achieve and
Asssit the compliance manager in the fulfillment of the compliance monitoring plan In line with AML regime (UK) and the group's policies Counter Terrorist Financing SEEKING AN AML PROFESSIONAL, 4 YEARS+ IN THE AREA, INVESTMENT BANKING BACKGROUND
Role Purpose (overall high level summary of the role) To assist the Compliance Manager in the fulfilment of the compliance monitoring plan in relation to the requirements of the UK Anti-Money Laundering (AML) regime and the Group’s money laundering deterrence policies and procedures across the bank and its subsidiaries and businesses. This will primarily b
Senior Compliance Consultant role within a leading Financial Services firm
Reporting to a Compliance Manager you will be accountable for leading and delivering complex regulatory reviews. Your responsibilities will include producing comprehensive scoping documents clearly articulating areas of coverage; identifying regulatory risks and mitigating controls; testing to ensure controls are designed and operating effectively; producing clear and concise reports detailing your findings and risk exposures. You will oversee resources assigned to your reviews, be responsible for allocating activities a
This role supports financial analysis for Capital, Recovery, and Resolution plans. This role is part of the stress test financial analysis team, and requires review of financial statements and key metrics for planning sessions and stress cases at a business unit level.
GE is an equal opportunity employer, offering a great work environment, challenging career opportunities, professional training and competitive compensation. This role supports financial analysis for Capital, Recovery, and Resolution plans. This role is part of the stress t
Our direct client, an Investment Bank, is looking for a business side Project Manager/Business Analyst to be based in New York, NY. Individual will work within Change Management and be responsible for running and analyzing projects related to reference data.
7 to 10 years experience in Project Management and Business Analysis within a large financial institution running large scale projects. Must have experience with running and analyzing projects related to reference data. Experience with projects related to industry regulatio
UBS is looking for an experienced wealth planner with legal background and fluency in Spanish language.
Perform research and analysis of civil law, common law and legislative law systems of the Southern Latin American region, with particular focus on and expertise/specialization in Argentina, Chile and Peru, to develop wealth planning proposals and/or memoranda for clients, prospects and their advisors. Examine legislation, case law, regional data and current events of the countries within Southern Latin America where our clients reside, an
The Sensitive Client Unit conducts due diligence and pre-approvals for PEPs, SIAPs and SCAPs.
Description: Conduct enhanced due diligence on existing and new clients in accordance with Firm CIP policies and the USA Patriot Act for predominantly international clients and sensitive domestic clients such as PEPs or those associated with high risk industries or countries. Due diligence is comprised of using both internal and external databases. In addition, the analyst will be required to review certain reports and be tasked with ass
Renforcer l'équipe juridique d'une société de gestion
Nous recherchons pour Aviva Investors France, société de gestion de portefeuille agréée en France par l’Autorité des Marchés Financiers sous le numéro GP97-114, entité de gestion d'actifs du Groupe Aviva dont les encours au 31 décembre 2012 atteignent près de 90 milliards d’euros : Dans le cadre d'un Contrat à Durée Déterminée de 3 mois au sein de la Direction juridique, vous aurez pour mission : - Contribution au pilotage chantier "dealing" en liaison avec les équipes internes : organisation de réunions, rédaction des
Global investment bank in NYC is growing and looking for a strategic program/project manager with regulatory/capital or MI /financial reporting systems and processes or related BAU reporting experience.
Description This position oversees the planning and implementing of strategic finance projects (may be enterprise-wide) to improve operational efficiencies across business lines and functions and the elimination of duplicate processes, operations and systems, to decrease overhead in line with targets. This role will have a strategic focus and will focus
Société de gestion indépendante reconnue, recherche dans le cadre de son développement en France et à l’international, un responsable du secrétariat juridique des OPC gérés par la société et des Due Diligences
Profil : Diplôme grande école ou formation universitaire en finance (BAC +5) 5 - 7 années d’expérience dans un poste similaire Très bonne connaissance des spécificités juridiques d’un OPC (prospectus, DICI, base Geco...) Bonne capacité rédactionnelle Maitrise orale et écrite de l’anglais Autres langues appréciées Poste basé à Paris
Aegis, Research & Selection company, specialized in recruiting high profile professionals is looking, on behalf of a international bank, for a:
Head of Compliance & AML (Ref. HoC) Responsabilities of Compliance Officer To effectively assist, support and advise the business unit, Compliance Officer must develop a clear understanding of the local level business practices and strategy. He/She must act within the scope of the Group Compliance Charter and Framework and must review and continually assess, improve and monitor the effectiveness of the local level compliance risk manageme
A leading investment bank is looking for an experienced Control Room Compliance at VP level.The incumbent will be responsible for providing primary compliance coverage to the Research business as well as other Control Room duties including managing of the firm’s conflicts relating to different businesses.
Responsibilities : Responsible for Clearance of research and daily reports from Compliance’s perspective; Provide guidance and review pre-deal research. This involves liaising with Research Management and/or internal/external legal counsel; Assist with implementation and co
Objective-driven, collaborative and a culture emphasizing on integrity and excellence, Northern Trust is looking for an Compliance Consultant, experienced in financial industry, to join our high performance Asia-Pacifc Compliance team. This is a high visbility role, based in Northern Trust APAC regional HQ in Singapore
Northern Trust Corporation is a leading provider of investment management, asset and fund administration, fiduciary and banking solutions for corporations, institutions and affluent individuals worldwide. Northern Trust, a multibank holding company based in Chicago, has a g
On behalf of a Local Commercial Bank, Swisslinx Executive Search is looking for an experienced Head of Legal and Compliance to be based in Sharjah.
In this senior role, you will be overlooking all of the Legal and Compliance activities of the bank. This is a new position, to combine and provide guidance to the existing legal and compliance functions. In this role, you will be reporting into the CEO and overlooking a team of compliance and legal professionals. You must have: -Excellent knowledge of legal and compliance, including AML, KYC, reporting -Must have banking background -Exc
On behalf of our client, a top-tier Swiss Private Bank registered in the DIFC and licensed and regulated by the DFSA, Swisslinx is currently seeking a Compliance and Legal Officer to join their prestigious office in Dubai.
In this role, you will be reporting to the Head of Compliance and Legal (this is not a managerial position), as well as working within a small team of professionals. The successful candidate should hold the following skills: 3-8 years professional experience in a compliance, legal or tax related role within a Private Bank in Europe or the UAE, ideally the
Leading Asian Bank seeks Regional Internal Audit - Senior Manager, to join its expanding team in Singapore. My
Leading Asian Bank seeks Regional Internal Audit Senior Manager, to join its expanding team in Singapore. My client offers a stable platform with excellent career progression and attractive remuneration package for the best candidate. This role will report to the local Head of Internal Audit and you will be expected to deputise from time to time. Key Responsibility for Regional Internal Audit - Senior Manager are: •As an Business Audito