- Featured JobBristolPermanent
This is a newly created Head of Compliance role for a successful Fund Manager based in Bristol. The successful candidate will have broad compliance experience and regulatory knowledge to provide sound advice to provide first class compliance support to the business.
Head of Compliance -Investment Manager -Somerset
CF10 & CF11 with FCA & SEC experience
Regulatory project supporting the head of compliance, 1 year contract
Exciting project role
Potential for longer term work
The Interim Compliance Manager will provide assistance in ensuring the firm meets regulatory and policy requirements. This interim role has the scope and intention to go permanent.
Opportunity to go permenant
Prestigious Asset Management client based in Edinburgh city centre
- City of LondonTemporary£200 - £300 per day (£51,996 - £77,994)
Conduct and execute the risk based Compliance Monitoring Plan (CMP). Develop management information for all monitoring tests and reports
Opportunity within a highly prestigous investment bank
Competitive daily rate
The successful financial services- compliance manager will be a key contributor to the risk, compliance and ethics program for the business, and is responsible for assisting with the development of the firm's compliance framework and overseeing compliance with regulatory requirements, compliance policies and procedures.
A new opportunity to join a very well known Investment Manager in compliance
Excellent opportunity for a Compliance Manager to join a growing team
This financial services role will sit in the central control room of an Investment Bank in London. The successful Control Room Manager will be responsible for the control of watch list and restricted list monitoring. In addition, they will be required to administer central compliance core requirements too.
Excellent position in an Investment Bank
Fantastic opportunity to join a growing team
- LondonPermanent£40,000 - £50,000
The job is to help with the Chief Compliance Officer and Head of European Trading to help manage MiFID II reporting requirements, as well as various other compliance and operational responsibilities.
Generalist Compliance Role
The primary focus of the role will be to assist in developing the local risk based compliance monitoring programme. The role includes providing oversight of the UCITS investment restrictions for certifunds and advice to the business on UCITS eligibility questions.
The position will support the distribution and marketing of funds internationally. Based in London, the primary focus of the role will be the review and approval of fund marketing materials, including presentations, factsheets, brochures, web content, video and email marketing content. The role will also include providing compliance support to product development and distribution functions.
Marketing & Distribution
Extremely important role with in the business allowing the successful candidate to deal with a wide variety of stakeholders.
Growing well known Investment Management firm
- City of LondonPermanent
Performance of Client Verification Team (CVT) Reviewer specific responsibilities as defined within the global Client Lifecycle
Management procedure of the Corporate Client segment (and/or local addendums) under the guidance and
supervision of the Head of CVT.
This is a Capital Markets Compliance Advisory role in a mid sized Investment Bank
Fixed Income & Equities Compliance
Investment Banking Compliance
The successful financial services- Monitoring & Surveillance Compliance Officer will assist in the delivery of the annual Compliance monitoring plan (to includeMiFiD II & Market Abuse Directive) in London.
The officer will carry out daily post trade surveillance monitoring on a timely basis to identify activity which may indicate possible market abuse or market integrity issues.
Excellent Surveillance and Monitoring Role
A fantastic position with great variation and opportunity for growth
The Compliance Manager will be responsible for establishing and maintaining effective systems and controls for compliance with applicable requirements and standards under the regulatory system.
Based in London
Compliance Manager position in an Investment Managemenet Firm
An excellent working knowledge of AIFMD will be an advantage
The Head of Compliance Controls & Vendor Risk Management, facilitates, and oversees the development of corporate risk assessments, control testing, vendor management and policy and governance for the European Compliance function, The role will include a special emphasis on compliance with consumer protection laws and regulations within the UK but also across various European locations. Based in a Kent.
An exciting opportunity to develop and manage a compliance & risk framework.
This position will ensure compliance and regulatory requirements across Europe.
- SurreyPermanent£55,000 - £85,000
The Compliance VP will be responsible for managing, maintaining and enhancing the Compliance Risk Management Framework - including but not limited to governance, compliance advisory, compliance monitoring and testing (CMT), risk control self-assessment, and review of new products. Financial Crime matters are outwith the scope of this role.
The successful financial services- Client Verification- AVP will perform assigned tasks as part of the on-boarding, regular and event- driven review. To include, account opening and account closure as well off boarding of Corporate Clients in the clients London based office.
The successful candidate must have an MA / MSc in a business related discipline
Must have longevity in current role & a thorough understanding of AML
The Mandate Monitoring Analyst will carry out Pre and Post Trade Monitoring in the London office.
He/She will provide support to the Front Office on queries relating to pre and post trade rules and exceptions.
Excellent Investment Management Business
Mandate Monitoring position carrying out both pre and post trade monitoring
This is a Head of Compliance & MLRO position for a small African Bank covering Treasury, Capital Markets & Corporate Banking. My client is seeking a seasoned Head of Compliance to join the bank.
Head of Compliance - Investment Bank
- Newcastle upon TynePermanent
Michael Page are recruiting for a brand new role with a great company based in Newcastle. The role is for a Senior Compliance Officer and is a full time, permanent role.
Senior Compliance Officer - Globally Recognised Brand
Permanent - Newcastle Based
- LondonPermanent£80,000 - £110,000
This is a generalist compliance role reporting into the Head of Compliance for an Emerging Markets Investment Bank. The successful compliance officer will have experience in Investment Banking and exposure to compliance at senior level.
Investment Banking Compliance experience
Broad compliance role on offer
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