Compliance Complete | Recruitment | Job List

Compliance Associate

1336048664

Compliance & RegulationFund/Asset Management | Competitive base salary and benefits package |

Leading New York based Compliance Consulting firm with a great client roster ranging from start-ups to large firms with well-established track records and encompassing a broad range of investment strategies and styles, is looking to hire an experienced Compliance Associate.

Based in the New York office, the successful individual will be responsible for helping to provide both SEC registered and unregistered investment advisers with various levels of tailored compliance and regulatory support services. These services range from compliance infrastructure reviews to more proactive monitoring and maintenance of a firm's compliance program. The Compliance Associate will work with various clients to provide a high level of service and pro-active support.

The ideal candidate is likely to have in the region of 1- 3 years' compliance experienced, ideally gained within a hedge fund or other investment firm, and have experience of handling regulatory issues under the Investment Advisers Act of 1940. Applications may be considered from candidates with more or less experience than this who can demonstrate the necessary level of competence.

A Bachelor's degree is strongly preferred although a JD is not required. Candidate must be extremely detail oriented and have exceptional focus on delivering to clients. Whilst the culture of the firm is collegiate and team-based support structures are in place, you must be able to work without guidance where required as well as be a strong team player

Candidates must have the right to work in the US without restriction.

Compliance Audit Manager – QA/QM or Regulatory Affairs Healthcare Experience Req’d

1337343351

Compliance & Regulation | 120k - 130k Annually + Bonus & Bens |

Our Client is a leading technology and research organization across the globe now seeking to recruit an experienced compliance auditor. Within Compliance Audit, you will support the concept of Integrated Audits by working together with managers and auditors from other disciplines (i.e., Operational, Financial & IT Audit).

You will be responsible for the day-to-day management and execution of Audit Engagements, ensuring accordance with the prescribed methodologies, and policies and procedures.

You should have a strong academic history, at least 6-8 years work experience as a specialist in Quality Management and / or Regulatory Affairs in a multinational medical devices or pharmaceutical firm and knowledge of Healthcare specific regulatory laws & regulations.

Please call Augustus Romain # 212-918-4772 for a confidential discussion about this position or send your details to gus@compliancerecruitment.com

Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.

Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.

Compliance Advisory – Physical Commodities Experience Required

1337075051

Compliance & Regulation | 160k - 200k Annually + Bonus & Bens (inc possible relocation) |

We are recruiting for a global banking group seeking a Compliance Manager to join their Singapore office focusing on advising their large commodities business. Duties will include:

Assist in the identification of material regulatory and reputational risks in the business.
Anticipate and assess key regulatory & product risk trends in the business for management consideration and help drive the development and implementation of appropriate mitigation control measures.
Undertake continual assessment of regulatory risks associated with existing products and those under development.
Participate in the governance of a business.
Assist in approving new products and new business initiatives.
Assist local teams with product line expertise as required, particularly with regard to regulatory inspections or investigations.
Assist in management and implementation of the product compliance coverage framework and in the preparation and distribution of management information in relation to the product compliance coverage
Develop Compliance policies and procedures applicable to the business.
Assists in the development and enforcement of product standards and controls.
Ensure appropriate documentation of controls and control decisions.

The successful candidate will have excellent compliance experience within Commodities and most importantly physical commodities. You may already be based in APAC or currently based in the UK/US looking to relocate to the region.

For further information or a confidential no obligation discussion, please feel free to call Kevin Cheung on 852-3101-0161 or send your details to him at kevin@compliancerecruitment.com

Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.

Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.

Exclusive: Compliance Manager – Min Two Years Buy Or Sell Side Experience & Reasonably Fluent French Req’d

1337001864

Compliance & RegulationSecurities & Wholesale BankingFund/Asset ManagementInvestment Banking/Stockbroking | 160k Annually + Bonus |

Our Client, the Swiss office of a global firm seeks a Senior Compliance Manager for a mixed and varied role. Duties include;

Real time advice to the business
Tracking all regulatory developments and ensure that the business is aware of all implications
Working alongside the business to review all proposed changes to products or services offered to ensure compliant
Participating in monitoring as and when required
Advising Marketing and / or review Financial Promotions as required
Assisting in or leading projects (I.T related or otherwise)

You should have at least two years compliance experience from either the buy (Investment Management) or sell side (Investment Banking or Securities Trading) gained in Continental Europe (e.g. France, Germany, Luxembourg etc), the UK or the US. You should also be fluent in English & reasonably fluent in French with excellent interpersonal skills and be able to operate at any level in the business.

Please call David Symes FCA on 020 7330 6966 for a confidential discussion about this position or send your details to david@compliancerecruitment.com

Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.

Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.

Compliance Consultants – Broker/Dealer Compliance Experience Required (Any Jurisdiction)

1336146551

Compliance & Regulation | 100000 + Benefits |

Our client, a rapidly expanding multinational compliance consultancy, is seeking to recruit new consultants. Duties will include;

Assisting with regulatory authorisations of new firms (or new to APAC region)
Drafting compliance manuals & procedures
Advising on implementing such
Carrying out monitoring of compliance procedures
Advising on Filing requirements
Assist in special investigations
Assisting in bringing in new business from existing clients
Assisting in developing new clients

You should have good compliance experience of Broker/Dealers, be able to work flexibly with minimum supervision and have the confidence to be able to help develop new business when required (although previous business development experience not expected). Great opportunity to join this global firm at an exciting time in the growth of Regulatory Compliance in the region.

For further information or a confidential no obligation discussion, please feel free to call Kevin Cheung on 852-3101-0161 or send your details to him at kevin@compliancerecruitment.com

Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.

Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.

Compliance Consultants – Broker/Dealer Compliance Experience Required (Any Jurisdiction)

1336146519

Compliance & Regulation | 100000 + Benefits |

Our client, a rapidly expanding multinational compliance consultancy, is seeking to recruit new consultants. Duties will include;

Assisting with regulatory authorisations of new firms (or new to APAC region)
Drafting compliance manuals & procedures
Advising on implementing such
Carrying out monitoring of compliance procedures
Advising on Filing requirements
Assist in special investigations
Assisting in bringing in new business from existing clients
Assisting in developing new clients

For further information or a confidential no obligation discussion, please feel free to call Kevin Cheung on 852-3101-0161 or send your details to him at kevin@compliancerecruitment.com

Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.

Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.

Associate Director Supervision – Current/Former Regulator with Asset Management Exp

1336146472

Compliance & RegulationFund/Asset Management | $ Very Generous Basic + Full Ex-Pat Benefits + Bonus [ALL TAX FREE] |

We are recruiting for a local regulator looking for an Associate Director (Supervision) to implement supervisory risk identification and mitigation programs in respect of authorised institutions dealing in Asset Management and will participate in producing supervisory work programmes utilizing the normal range of supervisory tools. Duties will include

Ensuring that the ongoing supervision of institutions is handled with efficiency
Establishing a pro-active, risk mitigating supervisory approach
Ensuring the timely flow of management information within the Authority
Working closely with other Divisions to resolve issues arising from the institutions supervised where required; assist with the development of prudential policy.
Working with colleagues in other Divisions to ensure the Authority remains at the forefront of regulatory developments
Assisting in the application of new policies in supervisory activities

You should have experience working for a regulator in an Asset Management environment, whether gained in the UK, Australia or North America.

NB We have a successful track record of placing people with this organisation and can advise on all aspects of the role and/or living in the country (cost of living, lifestyle etc).

For further information or a confidential no obligation discussion, please feel free to call Darren Ruskin on 020 7330 6961 or send your details to darren@compliancerecruitment.com

Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.

Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.

Compliance Analyst – Corporate Finance

1336146411

Compliance & Regulation | 85k - 100k Annually + Bonus & Bens |

Our Client, a leading International Group, seeks to recruit an experienced Compliance Officer. Responsibilities will include:

Advise Corporate Finance business areas on firm policies and procedures and applicable securities laws and FINRA regulations
Identify regulatory trends and developments that impact Corporate Finance business areas, and advise staff as to how this may impact their current activities.
Draft, update, and implement relevant policies and procedures.
Provide regulatory/compliance training.
Assist the business implement and document various supervisory/control mechanisms.
Develop and assist in executing compliance reviews of Corporate Finance businesses
Participate in internal investigations, respond to regulatory inquiries, and coordinate internal and external audits and inspections.
Interact with federal and state regulators
Track and report relevant key metrics for the Compliance department

You should have a least a Bachelors Degree or equivalent with 2+ years of securities experience, gained in a global investment bank, a regulator or a law firm. You should have strong knowledge of applicable securities laws, rules and regulations and experience in providing legal, regulatory or compliance advice in connection with investment banking transactions.

Please call Augustus Romain # 212-918-4772 for a confidential discussion about this position or send your details to gus@compliancerecruitment.com

Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.

Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.

Senior Compliance Manager – AML Policy

1336146367

Compliance & Regulation | 150k - 160k Annually + Bonus & Bens |

Our Client, a leading International Group, seeks to recruit an experienced AML Policy Manager

Help develop global AML/Sanctions policies, including working with affected business and control areas, as necessary
Help develop and manage AML global policy process and governance
Work with other Compliance areas to coordinate AML and other compliance policies
Help develop and manage tracking and assessment of policy impact of North America AML legal and regulatory requirements and assist in tracking global developments
Assess and assist in drafting regional and local AML policies
Develop and assist in developing appropriate policy-related communication and training, as necessary.

You should have at least 12 years experience in banking/financial services of which at least six years should have been in AML or Sanctions related roles, and you should have gained previous experience in creating & writing policy whether in AML or broader roles.

Please call Augustus Romain # 212-918-4772 for a confidential discussion about this position or send your details to gus@compliancerecruitment.com

Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.

Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.

Compliance Consulting – US Regulatory Knowledge Needed

1336146320

Compliance & Regulation | 60k - 80k Annually + Benefits |

Our client, a leading global management consultancy, is looking to take on a new staff member in APAC, working with Asian clients & advising them on US requirements as follows;

Assisting in drafting compliance manuals & procedures
Advising on implementing such
Carrying out monitoring of compliance procedures
Advising on Filing requirements

You are not expected to bring in business but to have a sleeves rolled up/hands on approach with some knowledge of SEC & FINRA and in particular the requirements of the 1940 Act (with an awareness of the 1933 & 34 Acts). The role could be based in Hong Kong or Singapore but either way will be on a flexible basis i.e. visit clients (& office) when needed otherwise work from home around your schedule.

For further information or a confidential no obligation discussion, please feel free to call Kevin Cheung on 852-3101-0161 or send your details to him at kevin@compliancerecruitment.com

Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.

Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.

Senior Compliance & Surveillance Manager – Retail Broking Experience Required

1336146230

Compliance & Regulation | 150k - 175k Annually + Bonus + Benefits |

Our Client, a leading International Group, seeks to recruit an experienced Senior Compliance & Surveillance Manager

Lead, coordinate and manage compliance reviews and investigations.
Manage sales practice and surveillance activities of client account & employee reviews
Conduct monitoring and escalation activities relative to analyst surveillance functions.
Provide ongoing compliance advisory support regarding sales practice matters to business and other Compliance areas
Project management for compliance initiatives, and provide advice and guidance relative to regulatory reviews and investigations.

You should have good experience of retail broking compliance whether gained in an in-house role, a consultancy or a Regulatory organisation. Full specification available on request.

Please call Augustus Romain # 212-918-4772 for a confidential discussion about this position or send your details to gus@compliancerecruitment.com

Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.

Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.

Compliance Associate - Any Compliance Experience (or Operations or Legal Exp if in Investment Management)

1336146150

Compliance & Regulation | 80k - 110k Annually + Bonus + Benefits |

Our Client, a leading fund management firm, is looking for a motivated individual to join the existing compliance staff. Duties include;

Researching, understanding, and interpreting SEC Registered Investment Advisor laws and regulations and similar regulatory areas such as ERISA.
Interacting with the firm's external compliance consultants and law firms on compliance and regulatory matters.
Developing an understanding of the firm's business and the regulatory framework in which it operates.
Working with the CCO and General Counsel to ensure adherence to various legal and regulatory requirements and industry best practices.
Managing the firm's compliance system recordkeeping, reporting, and calendar functions.
Working with the CCO to evaluate, test, implement, and manage compliance controls.
Evaluating personal securities transactions, and monitoring adherence to internal personal trading requirements.
Assisting with the review of marketing materials, publications, and third-party communications.

You should have a strong academic background with either at least 2 years in any Compliance or Regulatory role or else 3 years' experience in legal ,for either normal investment management or else alternatives.

Please call Augustus Romain # 212-918-4772 for a confidential discussion about this position or send your details to gus@compliancerecruitment.com

Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.

Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.