Compliance Complete | Recruitment | Job List

Counsel – Audits & Investigations

1327510224

Compliance & RegulationInternal AuditLegal | Competitive |

5+ yrs PQE

A top-tier oilfield service company with a century-long track record, Baker Hughes delivers solutions that help oil and gas operators make the most of their reservoirs. With more than 50,000 employees in 90 countries, their local geomarket teams work side by side with customers to engineer reliable application-specific products and services that create more value from the reservoir whether the application is deepwater, unconventional hydrocarbons or production and water management.

A unique opportunity has now arisen for a lawyer to join the company’s in house legal team either in Paris, France or in London, UK. Working directly with the Vice President, Chief Compliance Officer and Senior Deputy General Counsel, this position manages legal services in support of Baker Hughes’ compliance-related audits and investigations.

The role will be as diverse as it is challenging. You will be managing internal investigations, including directing and conducting interviews; you will also assist with the design and management of Baker Hughes’ Legal Compliance Program, including audit programs and investigations. Furthermore, your responsibility will be to advise senior management on legal risks and exposures, monitor new laws, rules and regulations and supervise the workflow of legal support personnel. You will also assist in compliance-related policy development and participate in goal-setting and budget planning, and in employee development initiatives.

You will be an excellent lawyer with good academics and at least three years solid experience in handling litigation and investigations gained in a reputable law firm, international corporation or governmental entity. Knowledge and experience with anti-trust, anti-boycott, trade regulations and U.S. sanctions is a plus. You will be a strong communicator and a good team player. You are able to work independently and travel extensively. Excellent business English is a must, any other language is a plus.

This role can be based in Paris or London.

Please contact our exclusively retained consultants Miriam Kuepper on miriamkuepper@taylorroot.com or +44 207 415 2828 or Simon Porter on simonporter@taylorroot.com or +44 207 415 2828.

Senior Compliance Officer - Hedge Fund

1328629320

Compliance & RegulationFund/Asset Management | 80k - 100k Annually Excellent |

Our client is a global hedge Fund that specialises within Fixed Incomce, they were set up in 2005 and now have $10 Billion in AUM.

ROLE:

Supporting and assisting the Head of Compliance on compliance & regulatory matters; including:

KnowHow

Researching and keeping up to date with relevant compliance & regulatory matters
Designing and updating compliance policies and procedures accordingly

Internal advice

Advising on compliance & regulatory issues
Organizing regular Compliance training sessions for staff

Tasks

Operating the firm's Compliance Monitoring Programme, gaining sign-off from Head of Compliance
Maintaining and updating Compliance Manual
Reviewing marketing materials, communications and new products for compliance with regulation
Reviewing business activity generally to identify and resolve compliance issues
Undertaking due diligence procedures for the firm, including KYC / AML on clients
Undertaking specific compliance & regulatory projects
Liaising with external compliance consultants and, as necessary, external counsel

Regulatory Reporting

Ensuring that all compliance & regulatory filings and reports are made on time

Non-Compliance tasks

Undertaking / assisting with non-Compliance tasks within the Legal & Compliance department

MUST HAVE:

Familiarity with the UK FSA Handbook

Experience of:

Compliance with FSA regulations
Implementing a Compliance Monitoring Programme

ADVANTAGES:

Legal qualification

Experience of:

FSA visits - including ARROW and/or thematic
US Compliance / SEC visits
Derivatives
Fixed income & Equity products and trading

Experience at:

Hedge Fund
Compliance Consultant
FSA or SEC

If you have an interest in this position, then please email your resume to ben.morrison@hudson.com

Anti-Money Laundering Compliance Manager & Nominated Officer

1328295295

Compliance & Regulation | 45k - 50k Annually Plus Car Allowance |

Thomas Cook Group plc is one of the world's leading leisure travel groups with sales of £8.9 billion and 22.5 million customers. We operate under six geographic segments in 21 countries, and are number one or number two in our core markets.

Position: AML Compliance Manager and Nominated Officer

Location: Peterborough
Salary: £45- 50,000 Plus Car Allowance, Private Health

Hours - Full Time - Potential for Flexible working

ROLE:
Oversee and deal with all aspects of Anti-Money Laundering and Counter Terrorist Financing on behalf of the UK Retail network and Commercial Foreign Exchange operation (CFX), to ensure compliance with the relevant legislations affecting MSB licensed businesses. As Nominated Officer, receive, evaluate and forward Suspicious Activity Reports (SAR's) to the Serious Organised Crime Agency. Lead and manage a small team and represent the Company on AML matters and deal with external agencies, including AML Regulatory authorities. Keep Senior Management and Executive Boards informed of relevant AML/CTF issues that may affect Thomas Cook.

RESPONSIBILITIES:

Review and develop clear and concise AML Policy, Procedures and training for Retail and CFX business.
Ensure AML systems and controls are robust. Produce and regularly review AML Risk Assessments for UK Retail, C.I. and IOM.
Have oversight and provide expert advice to support the CFX operation.
Assess impact of key regulatory developments, Sanctions, industry best practice and ensure relevant changes are implemented.
Ensure SAR's are dealt with by deadline imposed by HMRC. Authorise high value Retail FE transactions prior to them proceeding.
Provide telephone advice, support and guidance to retail network.
Develop and implement risk based monitoring of CFX and Retail transactions. Deal with the Regulators and matters arising from inspections/meetings/reviews.
Respond promptly to Law Enforcement requests on behalf of retail network in accordance with the Data Protection Act. Oversee AML compliance in Jersey, Guernsey & IOM jurisdictions. Deal with UK, Jersey, Guernsey and IOM AML Regulatory bodies.
Interpret relevant AML/CTF legislations for UK, Jersey, Guernsey & IOM, and translate effectively into understandable operational guidance.
Maintain all AML Fit and Proper Test registers. Maintain the MSB register of UK T/C locations in line with AML regulations. Represent Company at MSB industry forums ensuring T/C position is always considered and expressed.
Ensure AML issues are flagged to the Business in respect of new projects and take ownership of the AML piece. Produce quarterly and annual AML report for Senior Management and Executive Boards. . Attend Senior Management briefings
Develop and deliver internally tailored AML presentations.

ESSENTIAL SKILLS / EXPERIENCE:

Must have recognised AML qualifications.
Have complete understanding of AML legislation in the MSB sector.
Significant AML experience gained within regulated sector. In depth knowledge of key AML regulations and guidance including Sanctions.
Experienced in non face-to-face Commercial Foreign Exchange operation and business take on controls and processes.
Excellent verbal and written communicator. Excellent People Management skills.
Proven ability to clearly articulate business and regulatory implications.
Highly motivated, able to lead, support, manage a small team.
Able to analyse, understand and interpret AML legislation and regulatory communications, form an opinion and action accordingly.
Knowledge of Court Production Order procedures.
Knowledge and understanding of Data Protection legislation in respect of 3rd party law enforcement requests for disclosure.

DESIRABLE SKILLS / EXPERIENCE:

Membership of an AML Industry Forum.
Previous operational experience within MSB sector.
Knowledge of retail travel business.

You may have experience of the following: Compliance Officer, Money Laundering, Compliance Manager, Fraud, AML Analyst, AML Consultant, Diploma in Financial Crime, Compliance Consulting Manager, Anti Money Laundering, Risk Manager etc

This vacancy is being advertised by EasyWebRecruitment.com, the UK's leading Flat Fee Recruitment Agency. The services advertised by EasyWebRecruitment.com are those of an employment agency.

No terminology in this advert is intended to discriminate on the grounds of age, and we confirm that we will gladly accept applications from persons of any age for this role. Ref: EWR

Compliance Associate – Hedge Fund

1326821269

Compliance & Regulation | Competitive |

EMPLOYER

Our Client is a leading West End hedge fund, set up in 2001 and now has $4 billion assets under management. Out client is looking for a Compliance Associate.

ROLE

This role is to report directly into the Head of Legal and Compliance. There will be initial training and supervision (depending on level) as you settle in, after which you will be given increasing responsibility with the aim of eventually working with a high degree of independence. You will have responsibility for a wide variety of day to day compliance matters including but not limited to:

Compliance monitoring
Operations
Trading
Financial promotions
Conflicts
Reconciliation
AML and KYC responsibilities
Assorted tasks within legal & compliance
Maintain and update compliance manual

IDEAL CANDIDATE

The ideal candidate will:

Have 1-5 years’ compliance experience (you will get as much supervision as is necessary; personality fit is the most important factor)
Be familiar with the FSA handbook
Have experience in a bank/hedge fund/compliance consultant/regulator
Have a knowledge of fixed income trading

Candidates can expect good training and development from a highly experienced Head of Legal/Compliance and a good working atmosphere and culture.

To apply or discuss in more detail please e-mail your CV to Neena Sharma (nsharma@argyllscott.com) or call on 020 7936 1107.

Risk and Compliance IT professionals

1326450027

Compliance & Regulation | Competitve |

We're helping shape the future of financial services and want experienced, entrepreneurial Risk and compliance IT professional of exceptional talent to join us. You'll bring intellectual curiosity to every challenge and give our clients advice that helps them do business better.

If you have experience in Risk and Compliance IT, including Credit and Market Risk, Treasury, or compliance with a background in financial services, we have outstanding opportunities working with the world's most successful companies.

What you will do:

Join us as an Risk and compliance IT professional and you'll be involved in:

Risk Technology architecture
Data architecture
Programme or project management
Risk IT analysis and transformation
Sourcing
Cost reduction
IT operating model.

What you need:

We're looking for people who have:

Technical expertise and therefore client credibility in the field of risk and regulatory technology
Delivery of major risk/regulatory transformation programmes
Experience of large scale implementation
Experience of developing propositions that are current and relevant to our clients
Prior consulting experience at a Big 4, major system integrator or top tier consulting firm; investment or retail bank; insurance or asset management firm; or, financial services regulator
An understanding of the vendor landscape.

We have Risk and compliance career opportunities in the UK and throughout Europe working with the world's leading financial services organisations.

It's more than a job application. It's about your future.

Ernst & Young is 152,000 people, in 700 locations across 140 countries around the world. We work with our clients in advisory, assurance, corporate finance and tax. We're united by shared values and an unwavering commitment to quality. We make a difference by helping our people, our clients and our communities reach their potential.

Processes & Controls Professionals

1326449991

Compliance & Regulation | Competitive |

We're helping shape the future of financial services and want experienced Processes & Controls and Internal Audit professionals of exceptional talent to join us. You'll bring intellectual curiosity to every challenge and give our clients advice that helps them do business better.

If you have experience in processes & controls and internal audit and have a background in financial services, we have outstanding opportunities working with the world's most successful companies.

What you will do:

Join us in a Processes & Controls role and you'll:

Deliver value-added processes & controls services to a variety of financial services market segments
Improve efficiency and drive projects to completion
Take on leadership responsibilities
Establish, maintain and strengthen client and internal relationships across disciplines
Coach team members, share knowledge and help them to develop

What you will need:

We're looking for people who have:

An understanding of governance, processes and controls
Experience of internal audit, IIA, COSO, data analytics, computer assisted audit techniques (CAATs), continuous control monitoring (CCM), financial statements, SOX, 404, internal controls, financial reporting, fraud and IFRS
A track record within investment management, wholesale / retail banking or insurance
A professional qualification in Accounting or Finance.

It's more than a job application. It's about your future.

Regulatory and Compliance Professionals – FS Risk

1326449970

Compliance & Regulation | Competitive |

We're helping shape the future of financial services and want experienced, regulatory professionals of exceptional talent to join us. You'll bring intellectual curiosity to every challenge and give our clients advice that helps them do business better.

If you have experience in any area of regulation including Compliance, Remediation or Financial Crime and have a background in financial services, we have outstanding opportunities working with the world's most successful companies.

What you will do:

Join us in a regulatory and compliance role and you'll:
Work with regulated firms to develop innovative solutions to new regulations
Assist clients to restructure their organisations on a national, regional and global basis
Work with regulators and governments to consider effective regulatory solutions to market issues
Develop technical expertise alongside experts with complementary skills
Establish, maintain and strengthen client relationships
Coach team members, share knowledge and help them to develop.

What you need:

We're looking for people who have:

A strong academic background including a Bachelor's degree
A practical knowledge of Compliance and regulation in either Investment Banking, Retail Banking, Investment Management or Insurance
An ability to work in a team environment, whilst also being highly self-motivated
An ability to think in a creative and imaginative way
Effective leadership and project management skills.

It's more than a job application. It's about your future.

Prudential, Capital & Liquidity Advisory Professionals

1326449735

Compliance & RegulationRisk | Competitive |

We're helping shape the future of financial services and want experienced Prudential, Capital, Treasury and Liquidity professionals of exceptional talent to join us. You'll bring intellectual curiosity to every challenge and give our clients advice that helps them do business better.

If you have experience in any area of risk management and have a background in financial services, we have outstanding opportunities working with the world's most successful companies.

What you will do:

Join us in a Prudential, Capital, Treasury and Liquidity role and you'll be involved in:

ICAAP and capital management
Stress testing
Recovery and resolution planning
Market or Credit risk modelling and management
Liquidity and Capital risk management and reporting
Asset and liability management
Basel and FSA Regulatory change
Banking and asset management industry and products

What you need:

We're looking for people who have:

Banking industry experience working on risk management, ICAAP, regulatory reporting, regulatory policy, treasury or liquidity
Risk management qualifications
Experience of having worked in a Risk management consultancy firm or Regulator
Experience in the use of Treasury Management Systems, Banking and Payment Systems.

It's more than a job application. It's about your future.

Control Room Officer

1328789594

Compliance & Regulation | 40k - 65k Annually Competitive Pakage and excellent benefits on offer |

****CONTROL ROOM OFFICER***

PURPOSE OF ROLE

THE CONTROL ROOM IS RESPONSIBLE FOR ESTABLISHING THE CONTROL FRAMEWORK FOR IDENTIFYING AND MANAGING POTENTIAL CONFLICTS WITHIN THE BUSINESS, AND THE CONTROL OF ALL ASPECTS OF EMPLOYEE COMPLIANCE SUCH AS PERSONAL ACCOUNT DEALING, REGULATORY REGISTRATIONS, GIFTS AND ENTERTAINMENT.

THE FLOW AND RECORDING OF SENSITIVE INFORMATION, IN PARTICULAR, PRIVATE SIDE TRANSACTIONS AND CHINESE WALLS IN WATCH, INSIDER AND RESTRICTED LISTS AS WELL AS THE MAINTENANCE OF COMPLIANCE DATA AND REPORTING THEREOF TO GROUP OR OTHER MEMBERS OF COMPLIANCE⁄WEALTH AND REPORTING LARGE SHAREHOLDINGS.

THE CONTROL ROOM ALSO ACTS AS INTERMEDIARY BETWEEN WEALTH AND OTHER BARCLAYS BUSINESSES AND LIAISES WITH THE UK REGULATORS AS REQUIRED.

THE ROLE HOLDER WILL BE RESPONSIBLE FOR SUPPORTING THE HEAD OF CONTROL ROOM IN DEVELOPING AND IMPLEMENTING THE POLICIES AND PROCEDURES REQUIRED TO MANAGE AND OVERSEE THE ABOVE

CORE ACCOUNTABILITIES

THE ROLE HOLDER WILL BE RESPONSIBLE FOR THE DRAFTING AND/OR RENEWING POLICIES AND PROCEDURES IN RELATION TO CONTROL ROOM ACTIVITIES, INCLUDING PA DEALING, GIFTS AND ENTERTAINMENT, REGISTERED EMPLOYEES AND CHINESE WALLS. THEY WILL BE RESPONSIBLE FOR THE PROVISION OF TECHNICAL AND PRACTICAL ADVISE ON CONTROL ROOM ACTIVITIES GENERALLY. THE ROLE HOLDER WILL BE ACCOUNTABLE FOR FSA ENQUIRIES E.G STR's, INVESTIGATIONS AND OTHER AD HOC DUTIES/

ROLE REQUIREMENTS

PRACTICAL EXPERIENCE OF THE UK REGULATORY ENVIRONMENT, REGULATORY AFFAIRS AND THEIR RULES. COMPLIANCE EXPOSURE, IDEALLY WITHIN CONTROL ROOM AND/OR CONFLICT MANAGEMENT. EXPERIENCE IN LIAISON WITH THE REGULATOR AND THE APPROVED PERSONS REGIME AND BE FAMILIAR WITH DRAFTING AND REVIEWING POLICY AND PROCEDURE.

PERSONAL ATTRIBUTES

THE IDEAL CANDIDATE WILL HAVE STRING INTERPERSONAL SKILLS ENABLING EFFECTIVE COMMUNICATION, WRITTEN AND ORAL. ABILITY TO MULTITASK AND PRIORITISE EFFECTIVELY. CONFIDENT, GREGARIOUS WITH A POSITIVE OUTLOOK, RESILIENCE AND DETERMINATION.

Field File Review Consultant

1328789534

Compliance & RegulationLife & Pensions | 35k - 45k Annually Car Allowance + Benefits |

Our Client is a Well Known, Highly Respected, and a Provider of Compliance Support Services to the IFA / Financial Services Market. They are now looking to meet with an Experienced File Review Consultant who is used to dealing with IFA's to roughly cover the Surrey, Berkshire & Hampshire Areas, although from time to time you are expected to be flexible with this.

The Ideal Candidate will Reside Around The Reading, Basingstoke, (Berkshire/Surrey) Guildford Areas.

The Role:

Will be to visit IFA Organisations delivering a Range of File Review Services offering guidance and support in all areas of File Review and Compliance.

Skills, Qualifications & Experience Required:

* Full FPC (or equivalent)

* CeMAP

* AFPC (Desirable but not Essential)

* Diploma Qualified (Or working towards)

* Good All-Round IFA Experience & Knowledge

* Previous Experience in a Similar Role

* Discretionary Management Experience Especially Sought After and a Definite Benefit

Salary is Negotiable and Dependent on Experience and Qualifications. There is also an attractive Car Allowance and Benefits Package available.

ETD Advisory Compliance Officer

1328787397

Compliance & Regulation | 80k - 120k Yearly |

Leading Investment bank seeks a Compliance professional to join their Equity Derivatives function based on the trading floor. You will work as part of a two person team covering the Equity Derivatives business reporting to the Head of Equities Compliance.

The main responsibilities will include:

Responsibilities for compliance with the rules of the various derivative exchanges where the bank is a member.

Providing advice and assistance in resolving the compliance and regulatory issues arising from Derivative sales and trading activities.

Provide compliance assistance where required on any derivative structures traded by the business.

Provide cover to Convertible bonds desk, Delta 1 desk, listed derivative, exotics desk, single stock and index product desks

The job holder will need to make decisions as to which transactions are permitted and which are not. Some situations which are unclear or particularly complex will need to be referred to a senior member of the group but it is expected that the job holder will be able to take decisions at that level, and independently, on most occasions.

Ability to resolve trading issues to the satisfaction of both the business and in compliance with regulatory obligations.

The successful applicant will have:

Detailed knowledge of Futures & Option exchange rules and regulations as well as derivative products including warrants, OTCs, Exotics and Delta 1 products.

Proven experience covering single stock and index derivative products.

Knowledge of proposed MiFID rules in respect of Derivative products.

Emerging markets experience and a good understanding of event driven situations an advantage

Experience in dealing with Corporate Equity derivate structures will be an advantage

Knowledge of FSA rules and Market Abuse directive

If you are interested in finding out more about this role. Please contact Aaron Bolton on 02033016303 by phone or aaron.bolton@blackswangroup.com. Ben Hudson on 02033015821 by phone or ben.hudson@blackswangroup.com. Richard Aldridge on 02033015822 by phone or richard.aldridge@blackswangroup.com

Fixed Income Advisory

1328787390

Investment Banking/Stockbroking | 55k - 85k Yearly |

Our Client is a top tier global investment bank looking for a Fixed Income advisory specialist to join the existing team. The role is ideal for someone looking to broaden their skillset from a larger bank and develop their career in a busy fixed income dept. Coverage is across Europe, the Middle East and Africa with access all product categories including money markets, foreign exchange, fixed income, OTC derivatives, credit derivatives and emerging markets.

Credit Trading comprises Credit Derivatives, Investment Grade & High Yield Credit Trading, Structured Finance, Structured Capital & Leveraged Debt Capital Markets, Commercial Real Estate, Asset Finance & Leasing and Principal Finance businesses. This diverse business area provides an unparalleled breadth of pricing capability and liquidity.

Duties will include:

A thorough understanding of Fixed Income

Knowledge of European regulation and the ability to provide practical and immediate interpretation of regulations in the context of the firm's business activities.

Must be an excellent team player, prepared to take the initiative, assist colleagues, and able to liaise with management at the most senior levels. Must have a collaborative approach to achieving goals, actively share information, be able to deliver solutions and understand the requisite balance between self-sufficiency and escalating issues. Flexibility and willingness to undertake a variety of roles are also essential, including within other business areas supported by Equities Compliance.

Excellent communication skills (both written and oral) and an ability to make and present persuasive arguments to support the views/opinions given to European Fixed Income management and front office/support staff.

Pragmatism and the ability, when under pressure, to 'think on your feet', balancing commercial objectives with legal, regulatory and ethical considerations to arrive at sound judgements and decisions.

An ability to build and sustain strong relationship with Fixed Income personnel and colleagues in Legal & Compliance.

Self-motivation, confidence, an out-going and enthusiastic nature, tenacity, diplomacy and a good sense of humour. The successful candidate will have a fixed income background with proven experience in an international bank or exchange.

If you are interested in finding out more about this role. Please contact Richard Aldridge on 02033015822 by phone or richard.aldridge@blackswangroup.com

Compliance Analysts

1328787382

Compliance & Regulation | 45k - 65k Yearly |

Top tier Global Emerging Markets Asset Manager seeks Compliance Analysts to join London compliance team.

This is a fantastic opportunity to join a highly reputable financial services firm where a hands on and advisory focussed approach to compliance is practiced. Lots of liaison with the front office. Excellent opportunities for career progression and development.

Job details:

Provision of compliance advice to the business.

Assisting the Group Head of Compliance with the ongoing implementation of the compliance monitoring programme.

Dealing with day-to-day compliance issues arising from trading activities (e.g. investment restriction related).

Drafting compliance policies and procedures.

Assisting with the ongoing implementation of the regulatory training programme.

Liaising with non UK affiliates on compliance matters.

Assisting ensuring that the group is meeting its requirements under the FSA regulations and the regulatory regimes of other relevant regulators, including keeping abreast of relevant regulatory developments and advising on the impact of new business developments.

Assisting senior management to comply with corporate governance and SYSC requirements.

Skill set required:

My client seeks 2 very proactive compliance analysts who are used to practicing a very hands on approach to compliance, are confident liaising with the front office and building strong internal relationships.

Proven track record working in a broad compliance role for a reputable asset managemer, hedge fund, investment bank or regulatory consultancy.

Good product knowledge is desirable.

Able to carry out a varied compliance role ranging from advisory work through to monitoring.

Excellent interpersonal and communication skills - ability to deal with the front office on difficult issues on a day to day basis.

To apply or discuss in more detail, please contact Liz Slaughter on liz.slaughter@blackswangroup.com.

Control Room Manager

1328787382

Compliance & Regulation | 70k - 90k Yearly |

International Banking organisation requires a Control Room Manager to join their established and growing function based in London.

Responsibilities include;

Prime responsibility for maintaining the Investment Bank's Information Barriers and Global Grey and Restricted Lists.

The role requires having close contacts with all functions within the bank, holding or originating Sensitive Information as well being able to provide accurate and timely advice on items from information barrier crossings through to different types of trading restrictions.

Main areas of coverage include: Information Barriers, the use and impact of the Grey and Restricted Lists, setting sales, disclosures and independence issues as well as PA Dealing monitoring and clearance.

Mentoring of more junior team members.

Good Control room experience is essential to be successful in an application to this role.

For further information and a confidential discussion please contact; ben.hudson@blackswangroup.com on 02033015821, richard.aldridge@blackswangroup.com on 02033015822, aaron.bolton@blackswangroup.com on 02033016303, alex.hardy@blackswangroup.com on 02033016304.

Regulatory Policy Manager

1328787381

Compliance & Regulation | 50k - 65k Yearly |

Global Banking institution seeks an individual to join their expanding Compliance Division focussing on Policy and Regulatory Affairs.

The successful individual will be responsible for:

The regulatory affairs side of the department's responsibilities.

Playing a key role in the management of the banks C&C relationship with the UKFSA, taking responsibility for day to day management.

The ownership on a portfolio of topics (which could be e.g. conduct of business related or prudential) and be a subject matter expert in these areas, taking a lead on upstream and downstream on these topics and developing training.

The ideal candidate will have:

A good and general understanding of regulatory risk, including the UKFSA's handbook and supervisory approach, risk governance and a good understanding of the changing regulatory landscape.

Strong project management skills and proven drafting skills and the nous to pull together, often at short notice, briefings for senior management, and responses to regulatory papers.

A general familiarity with major risk types, credit, market, liquidity and operational risk.

To find out more or apply for the position please contact Aaron Bolton on 02033016303 or Aaron.Bolton@blackswangroup.com

Compliance Director

1328787377

Compliance & Regulation | 55k - 65k Yearly |

Compliance Director needed to join global Investment Bank.

Reporting in to the Head of Compliance, this role will be a generalist position where you will handle to a broad range of compliance duties on a day to day basis, such as:

provision of compliance advice to the business

compliance monitoring and reviews

general control room duties

You will have a strong generalist compliance background from a reputable investment bank, investment manager or regualtory consultancy. You will be able to work as part of a small team where you will be expected to work effectively on your own some of the time.

Please contact Liz Slaughter on liz.slaughter@blackswangroup.com to apply or discuss in more detail.

Control Room Associate

1328787371

Compliance & Regulation | N/A + |

Our client is a global investment bank looking for a control room analyst to in the London office.

Responsibilities include;

Prime responsibility for maintaining the Investment Bank's Information Barriers and Global Grey and Restricted Lists.

The role requires having close contacts with all functions within the bank, holding or originating Sensitive Information as well being able to provide accurate and timely advice on items from information barrier crossings through to different types of trading restrictions.

Main areas of coverage include: Information Barriers, the use and impact of the Grey and Restricted Lists, setting sales and trading restrictions, disclosures and independence issues.

Manage conflicts of interest

Good Control room experience is essential to be successful in this role.

If you are interested in finding out more about this role. Please contact Aaron Bolton on 0203016303 by phone or aaron.bolton@blackswangroup.com. Alternatively contact Richard Aldridge on 02033015822 by phone or richard.aldridge@blackswangroup.com

Capital Markets Advisory - Senior Manager

1328787369

Compliance & Regulation | 90k - 120k Yearly |

Our client is a global bank covering all asset classes. They are looking to recruit a Senior Capital Markets Advisory Compliance Officer. This is an excellent opportunity for an accomplished compliance professional to provide regulatory support for the Firm's developing business requirements within Corporate Markets. You will be expected to support the group and ensure that compliance policies and processes are in place and meet the operational needs of the department.

The role will require strategic input into several key areas and work closely with new hires within the business at a very senior level. Key tasks will include;

Assess and agree key business risks and review activity to be undertaken by the monitoring team with the business.

In conjunction with the business, assess the impact of regulatory change upon relevant areas and provide relevant training.

Through maintenance of close business relationships and attendance at team meetings, ensure that new business or services are developed in a compliant fashion.

Within areas of responsibility, ensure that effective monitoring and control systems are in place in order that all Compliance related issues are readily identified and remedial actions implemented in order to minimise risk.

Provide proactive advice, guidance, direction and interpretation as regards to Compliance issues and develop Compliance relationships across the designated areas of the business.

Attendance at relevant meetings in order to facilitate the compliant introduction of new products and services.

Provide support to Senior Management in the interpretation of regulatory changes and their likely impact on processes, procedures, controls and products

Ensure that appropriate mechanisms are in place to manage actual or potential conflicts of interest as applicable to the appropriate business area, draft and supervise successful implementation of any new relevant procedures to be delivered to those areas.

Assist in the review of other business areas in order to enhance cross training and thereby reduce key person dependencies.

To conduct training to the relevant business areas as required on policies and procedures to include any changes to these.

Promote the cultural, behavioural and organisational changes necessary with the business to achieve the continuous development of a compliant and customer orientated business.

This is challenging role that will involve a mix of regulation and management in a demanding environment. A detailed working knowledge of the FSA rules and regulations especially as applicable to the banking industry. You will be expected to provide direction and guidance to team members as well as take decisions regarding issues arising and ensuring proactive upward reporting of relevant issues.

The preferred candidate will have previous DCM, Securitisation and Derivatives advisory experience from a leading investment bank.

If you are interested in finding out more about this role. Please contact Ben Hudson on 02033015821 by phone or ben.hudson@blackswangroup.com. Alternatively contact Richard Aldridge on 02033015822 by phone or richard.aldridge@blackswangroup.com

Compliance Officer

1328787369

Investment Banking/StockbrokingCommodities/Futures | 50k - 75k Yearly |

Our client is a European Bank who is seeking a compliance officer to join a small team and cover a wide remit of work across advisory and monitorng. Candidates must have clearing, DMA and exchange experience.

Primary activities - Advisory

Providing the business line with professional and efficient advice on compliance-related issues, as required by the business line and/or the Global Compliance Officer with particular emphasis on:

DMA activities

Exchange and Clearing House rules

Operational reporting and disclosures, such as CFTC and transaction reporting.

Understanding, interpreting and communicating on the regulatory implications of new products, new activities, new rules and new clients.

Provide regular reporting necessary to the business line and to the Compliance function.

Involvement in all internal and external discussions and communications with a compliance or regulatory aspect.

Development and delivery of appropriate compliance training including induction for new joiners, and subsequent presentations and material for ongoing compliance awareness.

Primary activities - Monitoring & Control

Defining in-house rules, systems, procedures and monitoring to ensure compliance with local regulator's and exchange's rules.

Performing periodic monitoring of trading and other business line activities, documenting and analysing the results, and following up any actual or potential problems or rule breaches identified.

Ensuring that Compliance Policies are understood and implemented within Compliance and the business line, including maintaining local compliance manual content.

Performance of the Compliance Risk Self Assessment and implementation of the consequent Action Plan for the business.

Ensuring that there are procedures in place to obtain adequate client documentation to meet KYC and AML requirements and that client files are maintained regularly to an acceptable standard.

Review of and authorisation of client files and client acceptance forms as part of the client acceptance process

Ensuring that rules regarding personal account dealing, confidential information, conflicts of interest and other rules conform to regulatory requirements and are monitored to ensure that they are followed, including the investigation of any whistle-blowing or other suspicious activity reports.

Involvement with and reporting of any business line incidents that have a regulatory aspect or implication.

Primary activities - External Relationships

Ensuring that procedures are in place to deal with customer complaints and monitor such procedures for satisfactory outcomes.

Reviewing local regulatory and exchange rules proposals for impact on the business line and, in consultation with the Global Compliance Officer, respond to further the interests of the business line.

Notifying regulators and exchanges of all events required by their rules and ensure that all financial and other returns are submitted on time and to oversee the preparation, submission and recording of exchange and regulatory registrations.

Co-ordination of and involvement in all regulatory communications with exchanges and regulatory bodies, including the planning and management of inspection visits and audits.

Making regular contacts with the local regulators and exchanges to ensure that good working relationships are fostered .

Self-motivation, confidence, an out-going and enthusiastic nature, tenacity, diplomacy and a good sense of humour. The successful candidate will have clearing experience.

Compliance Manager - Wealth Management

1328787366

Compliance & Regulation | 70k - 80k Yearly |

Wealth Management Compliance Manager needed to join Wealth Management division of Global Financial Services firm.

Job Details:

An advisory focussed compliance opportunity supporting both the London wealth management and asset management divisions.

The focus of the role is broad, including investment management, private banking, credit, custody, corporate executive employee services, trust and tax advisory services to high and ultra high net worth private, corporate and trust clients.

Devising and updating appropriate compliance policies, delivering training and collating and reporting key management information to quarterly boards and committees.

Provide advice in response to client take on, transactional and project related queries.

Identification and analysis of regulatory developments impacting the wealth management area with particular emphasis on regulatory developments that have a focus upon industry best practice distribution techniques.

Compliance training specialist within the Compliance Advisory team.

Have regular meetings with key staff including the Business Manager and Assistant Managers.

Assist in the analysis of MiFID II, RDR, Retail Conduct Risk Outlook and

Implementation of effective compliance measures to reflect new developments as required.

Assist in financial promotion reviews.

Review and draft appropriate responses for new business /product initiatives.

Assist in identifying and articulating enhancements to the WM Compliance monitoring framework based upon new regulatory developments and other internal initiatives.

Skill Set Required:

Strong background working in compliance in a broad role with a focus on advisory.

Compliance backgrounds from Private, Retail and Wealth Management; Big 4/ Regulatory Consultancy will be considered.

Strong FSA regulatory knowledge.

Excellent communication skills.

Strong relationship building skills.

Able to carry out a broad role with a variety of tasks to attend to.

Strong team player.

To apply, or to discuss in more detail please contact Liz Slaughter on liz.slaughter@blackswangroup.com