Connecting to LinkedIn...

Compliance & Financial Crime Jobs

Regulatory Development Manager – Markets & Conduct - Asset Management

The Risk & Compliance Department, which comprises Credit Risk, Derivatives Risk, Enterprise Risk, Investment Risk, Compliance and Regulatory Development, forms the second and third lines of defense in our global risk management framework. The Department monitors the financial, operational and regulatory risks in the business and the related controls in place to manage these risks. These teams provide independent oversight of the risk management performed by the first line businesses. Risk & Compliance comprises around 120 members of staff, based across three main locations: London, Denver a...

Location: | Salary:
Ref: | Published: 18th Apr 2018
Multi Asset Project Manager (Governance)

Multi-Asset Head of Compliance Advisory sought by a leading London based asset management firm. About The Company The client is a leading wealth management business in the UK and internationally, helping to create prosperity for the generations of today and tomorrow. It has an adviser and customer offering spanning: Financial advice delivered by the Intrinsic network in the UK and AAM Advisory in Singapore Platform based wealth management and protection products delivered by the firm;s UK and international operations Asset management solutions delivered by the firm Discretionary investment ...

Location: London | Salary:
Ref: | Published: 09th Apr 2018
Multi Asset Head of Compliance (Advisory)

We are recruiting on behalf of our client, top wealth and asset management firm in London, who are looking to appoint a Multi Asset Head of Compliance (Advisory). About The Company The client is a leading wealth management business in the UK and internationally, helping to create prosperity for the generations of today and tomorrow. It has an adviser and customer offering spanning: Financial advice delivered by the Intrinsic network in the UK and AAM Advisory in Singapore Platform based wealth management and protection products delivered by the firm;s UK and international operations Asset m...

Location: London | Salary:
Ref: | Published: 09th Apr 2018
Senior Compliance Advice Analyst

About The Role Perform an advisory role supporting the business in discharging its regulatory obligations Act as a point of contact for regulatory enquiries from multiple business areas and providing time-sensitive advice and guidance Assist with the reviewing of the Compliance email inbox and providing compliance advice and guidance to the business, where required Deputise for the Compliance Manager as required Key Responsibilities Participate and actively engage in the performance management process to attain and maintain competence within your role Comply with applicable rules and regula...

Location: London | Salary:
Ref: | Published: 27th Mar 2018
Assistant Compliance Manager / Compliance Manager

Our client, a global independent asset management firm in London, is seeking to appoint an Assistant Compliance Manager / Compliance Manager. About The Role An opportunity has arisen within this global asset management house for an experienced investment guideline specialist to join the Investment Guideline Team as a coding resource. This is a highly visible role within the firm and offers the successful candidate excellent breadth of experience with a dynamic environment. The jobholder must possess a high degree of credibility and should be someone who is keen to work with a team in a high...

Location: London | Salary:
Ref: | Published: 23th Mar 2018