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MIDDLE OFFICE :: COMPLIANCE
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Credit Suisse is a world-leading financial services company, advising clients in all aspects of finance, around the world, around the clock.... more>> Jobs
Compliance Generalist
PERMANENT - London - City - £35,000 to £45,000
Due to internal progression, our client, a niche investment bank, is looking for a compliance officer with circa 2-3 years experience to move into a generalist/project role. more >>
Compliance Manager - Banking Operations
TEMPORARY - South East - £ competitive
Prestigious global asset management house has an opening for a compliance manager for a maternity cover assignment.
The role sits within the UK business compliance team which has responsibility for the oversight of all of the company's businesses in the UK (3 locations) and one overseas location and holds responsibility of working closely with other oversight functions (risk, investigations, audit) to provide full and proactive compliance support.
The role is primarily focused on providing compliance advice and guidance to the banking operations areas and therefore knowledge of FSA COBS and to a lesser extent COLL are required.
The role sits within a small team that has quite broad responsibilities to include involvement a number of projects that will be coming up next year.
The successful candidate will have experience of providing client oversight for banking operations business areas; strong knowledge of FSA COBS rules & regulations as well as some COLL exposure. Previous experience of dealing with financial promotions and/or retail products would be a bonus. Strong team working skills with the ability to work in a pressurised environment are essential along with strong written report writing skills. more >>
Vice President Compliance- Trading desk
PERMANENT - London - City - per annum
A world leading finance and technology firm are seeking a VP compliance associate for their Equities businesses and Information Technology group. The successful candidate... more >>
* EXCITING FS REGULATORY ASSOCIATE OPPORTUNITY! *
TEMPORARY - London - City
Our client is looking for a financial services regulatory lawyer with contentious experience to join them asap.
Responsibilities:
* Advising on compliance risk management and conducting internal more >>
Exclusive: International Compliance Manager – Product Knowledge with Legal Experience or Qualifications
PERMANENT - London - City - £60K - £80K Benefits & Bonus
We are exclusively recruiting for our client, a leading international broking firm looking for a Compliance Manager to liaise with both internal & external counsel on UK and International regulatory approval for new products or territorial licences. Reporting to the Head of Compliance and overseeing one Compliance Assistant, your duties will include: more >>
COMPLIANCE OFFICER
TEMPORARY - London
A leading European Investment Bank is looking to hire a Compliance Officer for an ongoing contract, based in their City office. The Compliance Officer role will focus on undertaking daily FSA reportin more >>
COMPLIANCE SPECIALIST
TEMPORARY - London
One of the world's leading financial institutions in terms of size and market capitalisation is looking to hire a compliance specialist on an ongoing temporary basis. The role w more >>
Compliance Analyst
TEMPORARY - London - City
My client, a Global Investment Bank are looking to expand their Compliance department and hire a Compliance Officer.
The Advisory Compliance team based in London provides compliance support to the Ba more >>
Compliance Monitoring Associate
PERMANENT - London - City
Compliance Monitoring Associate
This leading fund manager maintains an outstanding reputation and is offering the opportunity of a Compliance Monitoring Associate to join their Compliance team. more >>
Compliance Consultant
PERMANENT - London
Compliance Consultant
Organisation:
City based Investment Company (one of the largest asset managers in Europe) covering retail fund management, institutional fixed income, pooled life and pension more >>
Regulatory Control Analyst
TEMPORARY - London - City
My client is a leading Investment Bank who currently have a vacancy within their Front Office Regulatory Control Group acting as a Regulatory Analyst
The Regulatory Control Group works with the Firm more >>
Regulatory Analysis
PERMANENT - London - £Atractive Package
Several excellent opportunities exist for high calibre individuals with in-depth knowledge of the UK regulatory environment to join this prestigious financial institution. more >>
Compliance Consultant (Part Time or Full Time) - Fund Management or Securities Background
PERMANENT - London - £50K to £80K Pro Rata Bonus Bens
We are exclusively retained by our Client, a leading consultancy who now require a compliance consultant to supplement their team. Responsible for your own portfolio of clients, duties include: more >>
Compliance Analyst
PERMANENT - London - Market Rate
Leading global investment manager with a broad range of asset classes and an even broader array of institutional, retail and high net worth clients, currently seeks a bright individual to join their integrated compliance function. more >>
** COMPLIANCE REGULATION & POLICY - FUNDS **
PERMANENT - South East - COMPETITIVE
A global financial services company requires a senior associate to join their regulatory change team.
The successful candidate will be required to review all regulatory change affecting the busine more >>
Compliance Monitoring – Private Client Stockbroking Experience Required
PERMANENT - London - £50K Bonus & Benefits
We are exclusively recruiting for our Client, a niche private client broker (including discretionary fund management) looking to recruit a Compliance monitoring expert. Working alone but reporting into (and supported by) a Group Compliance function, duties will include; more >>
Compliance Monitoring Manager
PERMANENT - London - City - £35,000 to £50,000
My client is looking for a seasoned Compliance professional with extensive Monitoring experience.You will undertake compliance monitoring, reviews and producing reports identifying issues arising from the reports. more >>
AML Officer
PERMANENT - London - City
My client is a leading European Bank and due to expansion a vacancy has arisen for an Anti Money Laundering Analyst to join their AML team in London more >>
UK & European Compliance Manager – Investment Banking / Securities (In House Compliance or Professional Services Background)
PERMANENT - London - City - £70K - £80K Bens Bonus
Our client, a large international securities house, is looking for a Compliance Manager to provide guidance and advice to the capital & wholesale markets business in both the UK & European Markets. Reporting to the Head of Compliance duties will include: more >>
News & Press
Return to Core Compliance Contractors
After last year's concentration of MiFID hires in the temporary and contract recruitment world, 2008 has seen a return in demand for more generalist compliance skills. This includes control room, account opening and AML. For example temporary control room roles have increased by 67% year on year. more >>
Compliance Recruitment Keeps Shape Despite Crunch
Despite continuing turbulence in the financial marketplace, compliance recruitment is weathering the storm. According to the latest research from Joslin Rowe, European banks, asset management firms and hedge funds are continuing to recruit heavily within the compliance marketplace. more >>
Latest Compliance News
Employers
Credit Suisse
Credit Suisse is a world-leading financial services company, advising clients in all aspects of finance, around the world, around the clock.
Dresdner Kleinwort
Dresdner Kleinwort operates an integrated business model, the elements of which are; leading capital markets expertise, an international cross-border advisory platform, innovative risk management solutions across all asset classes, strength in the home markets of Germany and the UK, with an international presence and capability in key product areas to support a global client base.
Jefferies
Jefferies, a global investment bank and institutional securities firm, has served growing and mid-sized companies and their investors for over 40 years. Headquartered in New York with more than 20 offices around the world, Jefferies provides clients with capital markets and financial advisory services, institutional brokerage, securities research and asset management.
Merrill Lynch
Merrill Lynch is a leading wealth management, capital markets and advisory company, with offices on six continents. The company is a global trader and underwriter of securities and derivatives across a broad range of asset classes and serves as a strategic advisor to corporations, governments, institutions and individuals worldwide.
Personal Accounts Delivery Authority
The personal accounts delivery authority is a new Non-Departmental Public Body (NDPB) accountable to Parliament and reporting, through a board, to the Secretary of State for the Department for Work and Pensions. Our job is to get up and running a national, trust-based pension scheme called 'personal accounts'.
Best Selling Compliance Books
The International Treasurer's Handbook 2009 by
Category: Compliance/Regulation
The International Treasurer's Handbook is an essential guide to international corporate treasury and banking. Its content is reviewed and updated each year for its extensive readership of treasury, risk and finance professionals and consultants. The 19th edition will provide you with a comprehensive source of information with detailed articles on technical guidance, key strategies and policies to support you in international projects. Benefit from the handbook's extensive reference sections, including: - Treasurer's companion: keeps you up to speed on best practice guidelines and fram.....
A Practitioner's Guide to the FSA Handbook, 5th Edition by
Category: Compliance/Regulation
A Practitioner's Guide to the FSA Handbook â 5th Edition has been fully updated and extensively revised to include significant changes following on from the implementation of MiFID, the advent of NewCOB, the move towards More Principles Based Regulation and the Treating Customers Fairly initiative.....
The Asia Treasurer's Handbook 2009 by
Category: Compliance/Regulation
The Asia Treasurer's Handbook focuses on the emerging and growing market of the Asia Pacific region. It incorporates the structure and articles of global relevance from the International Handbook. The third annual edition has once again been reviewed and updated by experienced practitioners to ensure the content is accurate and comprehensive for commercial activity within the Asia Pacific region. The Treasurers' Companion section includes articles giving an Asian perspective on: - taxation - developments in accounting - payment systems - investing surplus cash - trade finance.....
Mastering the Isda Master Agreement by Paul Harding
Category: Compliance/Regulation
Mastering the ISDA Master Agreement 1992 and 2002, will provide a practical, clear and useful foundation for the fledgling negotiator as well as supporting them with a good overview of the legal, credit and operational issues inherent in the ISDA Master Agreement. Mastering the ISDA Master Agreement 1992 and 2002 is designed to build on the success of the first edition by extending coverage of to the new 2002 ISDA Master Agreement, and extends the coverage of the first edition. Once again this book will provide the many new entrants globally to derivatives documentation with a practical nego.....
A Practitioner's Guide to The AIM Rules, 5/e by
Category: Compliance/Regulation
A Practitioner's Guide to the AIM Rules covers admission procedures, continuing obligations and tax issues, as well as including specific chapters dealing with the roles of all key players and the CREST clearing and settlement system. Each chapter is written by a leading practitioner with extensive experience in their relevant specialism......
Essential Strategies for Financial Services Compliance by Annie Mills
Category: Compliance/Regulation
Compliance officers perform a vital, yet unpopular role in the business world as they advise on complying with myriad rules and regulations. What is good for compliance is sometimes seen as being bad for business, making a compliance officer's role a difficult one. "Essential Strategies for Financial Services Compliance" offers practical guidance on how to apply a regulatory requirement to day to day situations. It also shows how to communicate the compliance department's activities to the rest of the firm, how the role fits within the organization as a whole, what the scope and limitation of .....
Lingard: Bank Security Documents, Fourth edition by
Category: Compliance/Regulation
Now in its fourth edition, Lingard is the leading textbook on Bank Security Documents. Widely cited, this is a core resource for banking lawyers in-house, in private practice or at the Bar, bankers dealing with security documents or recovery situations and insolvency practitioners. It covers all aspects of the subject matter in detail, including e.g. chapters on guarantees and third-party charges, facility letters, the debenture, fixed and floating charges, covenants, and covers security documents for land, shares, life policies and contracts, goods, money etc. This edition takes account of re.....
A Practitioner's Guide to Financial Promotion, 2nd Edition by
Category: Compliance/Regulation
Financial Promotion - a Practitioner's Guide brings together and explains all the key issues and areas of concern to practitioners. In addition to looking at the FSA's regulation of the area it includes coverage of some of the other relevant applicable laws and nonstatutory codes such as the Advertising Standards Authority Code, as well as e-commerce and cross-border considerations, making it the most comprehensive source available. It also identifies important changes proposed at both the UK and the EU level to help firms prepare for future developments......
Back Office and Beyond by Mervyn King
Category: Compliance/Regulation
The 1st edition of Back Office and Beyond became the benchmark source and reference for 'best practice' in back office procedures. Better attention to back office procedures would have prevented disasters at Barings, Sumitomo, and other causes celebres - not to mention the latest debacle at Allfirst in the USA. This ground breaking book is an essential read for anyone wanting his/her organisation to thrive and survive, containing particularly practical guidance and advice and now extends its cover to the implications of CAD II. There is a compelling requirement for aspects of risk to be sit.....
Valuing a Bank Under IAS/IFRS and Basel II: Self-study woorkbook by
Category: Compliance/Regulation
Financial Institutions: what are they really worth? This complete self-study work book provides anyone involved in the valuation of a commercial bank for acquisitions or credit analysis with the essential tools and applications under the International Accounting Standards, International Financial Reporting Standards and within the Basel II environment. This is a hands-on tutorial designed to unravel the complexities of valuation, and leads you through the application of specific models. The workbook is replete with real-life examples, case studies, exercises and self-test questions. D.....
These books are the best Compliance sellers on the Here Is The City Bookshop. The Here Is The City bookshop has the latest financial markets publications for your edification. From biographies of some of the financial giants, to fun items and (for the really keen) books on trading, technical analysis, risk , compliance and regulation - it's all there. To visit the Here Is The City Bookshop click here >>>
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