Senior Compliance Officer - Asset Management
Salary:
£700 - £800 per day
Location:
London
Date Posted:
19 June 2018
Senior Compliance Officer - Asset Management
This pivotal role will cover all aspects of the Asset Management business activities relating to regulatory rules and working closely with the US Compliance business ensuring all regulatory requirements are met
Regulatory Advisor
Salary:
£30,000 - £40,000 per annum
Location:
Wolverhampton
Date Posted:
11 June 2018
An excellent opportunity is available with a most respected Financial Services business based in Wolverhampton for a Regulatory Advisor to undertake a range of activities across the HR spectrum.You will be responsible for managing and ensuring the delivery of HR regulatory and reporting responsibilities under the PRA and FCA including the Senior Management Regime and the Certification Regime.
Part-time Compliance Manager
Salary:
£60,000 - £80,000 per annum
Location:
London
Date Posted:
07 June 2018
A reputable financial services investment firm in London are in need of a seasoned compliance manager to join their business on a part time basis.
Principal Compliance Consultant - Asset Management
Salary:
£65,000 - £85,000 per annum + Standard
Location:
London
Date Posted:
07 June 2018
A fast-growing Asset Management Compliance Consultancy is looking for a Compliance professional to join their Compliance team covering all business activity. They are looking for someone with good knowledge of UK regulations in the Asset Management space, and excellent interpersonal and problem solving skills.
Guideline Monitoring Compliance Officer
Salary:
£50,000 - £75,000 per annum + Bonus + Benefits
Location:
London
Date Posted:
07 June 2018
One of the leading investment managers in London is looking to hire a Guideline Monitoring Compliance Officer to assist in the analysis and reviews of pre and post trade incidents across all funds and product ranges.
The Guideline Monitoring Compliance Officer will be expected to not only review alerts but also assist with the manual rule coding duties via the compliance systems.
Compliance Officer, Risk Review
Salary:
£60,000 - £80,000 per annum
Location:
London
Date Posted:
25 May 2018
The Risk Assessment, Monitoring and Testing team (SEGL/CFT/GBS/AMT) has a specific mandate within Compliance which is to evaluate and monitor the risks of non compliance, reputation and misconduct that GBIS (excl. PRIV) is exposed to across its business activities and operations globally. The team is primarily responsible to execute Compliance reviews covering GBIS activities within EMEA with a primary focus on SG London Branch, SG International Limited and Lyxor UK activities.
Compliance Officer, Risk Review
Salary:
£50,000 - £750,000 per annum
Location:
London
Date Posted:
25 May 2018
The team is primarily responsible to execute Compliance reviews covering GBIS activities within EMEA with a primary focus on SG London Branch. The Compliance Risk Review Officer ("Reviewer") has a direct reporting line to the Compliance Risk Manager. To be primarily assigned to and executing reviews pertaining to his or her Manager’s business perimeter. He or she may nevertheless be assigned to other business perimeters on a need basis.
Compliance Testing Officer – Vice President
Salary:
£80,000 - £120,000 per annum
Location:
London
Date Posted:
25 May 2018
The EMEA Legal and Compliance Department is charged with day-to-day oversight and coordination of the Firm’s compliance with core regulatory requirements covering all businesses including Institutional Sales and Trading (fixed income, commodities, equities), Investment Banking, Research Investment Management and Private Wealth Management Business across the EMEA region
Lead Associate
Salary:
£50,000 - £70,000 per annum
Location:
London
Date Posted:
25 May 2018
The Asset Management Department (formerly Investment Management Department) is responsible for the supervision of Asset Management firms, ranging from small, independent investment managers up to sophisticated financial services groups with a large impact on the retail market.
VP Compliance Advisory Manager. 3169624
Salary:
£70,000 - £120,000 per annum
Location:
London
Date Posted:
25 May 2018
You will be a member of the Global Markets ("GM") Equities Compliance team which covers Global Equity Trading, Global Equity Derivatives & Convertibles and Global Prime Finance ("GPF") being involved in Compliance coverage for all of these businesses but with a primary Compliance coverage responsibility for Listed Derivatives & Clearing ("LD&C") and Agency Securities Lending ("ASL") in GPF in London.
