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Role & Responsibilities Experience in compliance and/or risk from a similar environment, preferably within asset management. Client Interaction: dealing with client compliance enquiries from allocated client’s e.g. general compliance reporting, due d...
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The Regulatory Risk team is responsible for regulatory horizon scanning, managing relationships with regulators, regulatory reporting, individual and entity licensing, board and management reporting. At Macquarie, our advantage is bringing together d...
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The team you will be joining is compact, allowing for a significant impact by each member. As a Compliance Analyst, your expertise will be pivotal in navigating the complex regulatory landscape, ensuring the firm's adherence to the highest standards..
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About Us: BETA CAPITAL MANAGEMENT is a dynamic and forward-thinking financial firm dedicated to providing exceptional investment and wealth management services. We are committed to maintaining the highest standards of compliance and ethics in all our...
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This is an Analyst or Associate-level role within the London Global Banking and Markets - Public Compliance Team providing compliance coverage across market-leading Fixed Income, Currencies and Commodities (FICC) business units, primarily focusing on...
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OUR IMPACT This is an exciting opportunity for an individual who is a self-starter who exudes energy, curiosity, and enthusiasm to join the firm's Compliance Testing Group to conduct detailed reviews covering the various firm businesses and divisions...
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This is a VP level role within the Global Banking and Markets (Public) FICC Compliance Team, based on the trading floor in London. The role entails providing compliance coverage for our market leading Credit and Mortgages business. WHO WE ARE The Gol...
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This is a VP level role within the Global Banking and Markets (Public) FICC Compliance Team, based on the trading floor in London. The role entails providing compliance coverage for our market leading Commodities business. WHO WE ARE The Goldman Sach...
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OUR IMPACT Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of compliance. Compliance accomplishes these through the firm's enterprise-wide compliance...
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OUR IMPACT Global Compliance manages the firm's compliance, regulatory and reputational risks by ensuring adherence to laws, rules and regulations. The division monitors trends and changes in regulations in all jurisdictions in which the firm does bu...
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Please note: Experience with Aladdin/Webfolio is a core requierement for this role. We have partnered with one of our top clients, a leading global asset manager, seeking to hire an experienced Senior Risk Manager for their London office. This critic...
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Responsibilities: Monitor the regulatory environment to keep abreast of current legislation, key regulatory initiatives and future developments and interpret the impact on all business areas. Assist in the ongoing review and updating of compliance po...
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OUR IMPACT Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of compliance. Compliance accomplishes these through the firm's enterprise-wide compliance...
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Liaise and report to the relevant regulatory bodies as required by the applicable regulations Act as an adviser to the Company’s Board of Directors and Senior Management on general compliance issues Maintain an up-to-date understanding of relevant as...
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Bloomberg's Legal & Compliance Department plays a critical role in supporting our businesses and operations around the world. We move quickly and thoughtfully to help address a variety of complex legal issues that arise across the Company's various b...
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Knowledge and Experience Required: At least 5-7 years relevant experience, preferably gained in financial services or regulatory environment; Financial Promotions experience skills, knowledge and expertise. Other required Skillsets: Knowledge of FCA ...
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A private markets focused firm is looking to hire a Compliance Officer to join their Compliance function in a generalist compliance role, with a strong Financial Crime focus working with the firms rapidly growing emerging markets business. The ideal ...
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Responsibilities: Assist the Head of Advisory Compliance in coordinating regulatory requirements and business projects. Collaborate with the Advisory team on projects, support other team members, and share information and learnings to benefit the ent...
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Key Responsibilities: Develop and implement a comprehensive compliance monitoring program Code of ethics/personal account dealing monitoring Market abuse trade surveillance Support compliance framework for new products and markets Senior Managers and...
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Compliance Manager, Funds and Distribution 22 Bishopsgate, London - Hybrid Permanent At AXA IM our purpose, to act for human progress by investing for what matters, is central to every action we take as a business. As a responsible asset manager, we ...
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Our leading Technology client are looking for a talented and motivated Operational Risk Manager to develop, implement and maintain the Ops Risk Framework in-line with FCA and FSMA regulations. This is a first line of defence compliance role, implemen...
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OUR IMPACT Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of compliance. Compliance accomplishes these through the firm's enterprise-wide compliance...
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Requirements: · Minimum of 5 years of experience in internal and/or external audit, compliance testing team or a similar function within the financial industry · Extensive experience in compliance test planning, processes and controls design assessme...
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DESCRIPTION/ JOB PURPOSE reporting to the Head of Compliance and Legal, IBA lead the regulation and compliance function of IBA ensure that IBA complies with its regulatory obligations under the UK Benchmarks Regulation (BMR) and the relevant sections...
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About the Role: Grade Level (for internal use): 07 Reg & Compliance Customer Support Analyst The Team: As part of the Client Services team, you will work closely with various business functions including sales, operations, and product development to ...
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