| Control Room Opportunities
City and Docklands
£30-50,000
Ref – 7271
We currently have a number of opportunities for compliance professionals
with control room experience.
These positions are to work for leading global investment banks
based both in the City and Docklands and range from team members
to supervisory level.
We would be keen to hear from candidates who have between 1 and
3 years experience and who are looking for roles within progressive
firms offering excellent training and scope for career development.
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Compliance Executive – Asset Management
C£35,000
Location – City
Ref – 7286
This international asset management group, a subsidiary of a leading
global banking organisation, is currently looking to recruit a young
compliance professional.
Based within a high profile, business focused team the role will
be responsible for:
· Carrying out compliance monitoring reviews , ensuring
adequate controls are in place for the business to meet its regulatory
responsibilities
· Carry out on site reviews of third party administrators
· Assess regulatory and operational risks
· Produce compliance reports
· Assist with reviewing on a daily basis significant share
holdings report, daily deals report, restricted list and Take Over
Panel Report
· Maintenance of PA dealing records
Candidates for this role should be team players with strong communication
skills and 18 months to 2 years compliance experience gained within
an investment management environment.
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Compliance Analyst – German Speaker
C£35,000
Location – City
Ref – 7792
This leading global investment management group is currently expanding
its compliance team and is looking to recruit a young professional
into its international regulatory division.
This will be a broad based role encompassing:
· Reviewing UK and European marketing material
· Providing advise and guidance to the UK and European Marketing
and Sales Teams
· Carrying out detailed monitoring reviews
· Involvement in product development projects including launches
of new funds
· Researching changing regulatory legislation in certain
European jurisdictions
· Assisting with providing compliance training to the business
· Reviewing policies and procedures
· Liaising with regulators and other third parties
This is an excellent opportunity to join a blue chip organisation
and gain extensive international experience. Interested candidates
should have excellent communication skills, strong regulatory knowledge/experience
good legal or regulatory knowledge and a European language with
a strong preference for German.
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Junior Compliance Analyst
£28 - £32,000
Location – City
Ref – 7797
Our client, a highly respected global asset management company
is currently looking to recruit a young compliance professional.
The role is responsible for providing administrative and monitoring
support to the London based compliance team and will encompass:
· Collection and analysis of compliance management information,
in particular data on regulatory breaches and complaints
· Administration of compliance action tracking system
· Preparation of compliance management information for presentation
to senior management
· Assisting with compliance monitoring
· Processing staff dealing pre-clearance checks
· Assisting with approvals of financial promotions.
Suitable candidates should have strong inter-personal skills and
the ability to work well within a busy team along with relevant
financial services and or compliance expereince.
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Compliance Executive
C£30,000
Location – City
Ref – 7800
This leading global investment banking group is currently looking
to recruit a young compliance professional into its dynamic and
expanding global markets compliance team.
This is a newly created role, based within an established team
and reporting to the Senior Compliance Manager.
Key responsibilities will include:
· To advise on and monitor Global Markets Investment business
to ensure it is conducted in accordance with applicable laws, rules,
regulations and codes of practice
· Conducting annual compliance reviews of regional treasury
centres
· Review of FSA and other market publications
· Assist Compliance Managers with review and project work
· Monitoring the implementation of policies and procedures
This is an excellent opportunity to join a major financial services
group which has a strong track record of promoting from within and
developing their employees’ careers. Suitable candidates for
this role should be of graduate calibre with excellent communication
skills and the ability to thrive within a team environment. In addition
you will need at least 18 months hands on compliance experience
ideally with a strong knowledge of FSA rules in relation to private
customers and or a good understanding of treasury/fixed income products.
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Compliance Analyst
C£45,000 + bonus + excellent benefits package
Location – City
Ref – 7802
Our client is a highly respected, dynamic investment management
company which has seen significant growth in the last 5 years. They
are now looking to recruit an additional compliance professional
into their team.
Working closely with the Compliance Manager the role will encompass:
· Providing independent assurance to senior management that
its control objectives are being met
· Designing and undertaking an ongoing programme of compliance
reviews focusing on regulatory and control issues
· Contributing to the development and maintenance of the
compliance infrastructure reflecting regulatory and business developments
· Provide advice to the business on regulatory issues
· Assist with the ongoing development of anti-money laundering
policies and procedures
· Reviewing regulatory consultation papers
· Ad hoc project work
This is an excellent opportunity for a bright ambitious individual
who is looking to work in a fast moving and challenging environment.
Candidates for this role need to be confident with excellent interpersonal
skills and at least 3 years experience gained within an investment/asset
management environment.
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Compliance Analyst
£30 – 35,000
Location – London
Ref – 7803
Our client, a highly respected and expanding US investment management
company is currently looking to recruit a young, ambitious compliance
professional to augment its current team.
The role will involve:
· Assisting in designing and undertaking an ongoing programme
of compliance reviews focusing on regulatory and control issues
· Contributing to the development and maintenance of the
compliance infrastructure reflecting regulatory and business developments
· Providing advice to the business on regulatory issues
· Assist with the ongoing development of anti-money laundering
policies and procedures
· Reviewing regulatory consultation papers
· Ad hoc project work
This is an excellent opportunity for a bright ambitious individual
who is looking to work in a fast moving and challenging environment.
Candidates for this role need to be confident and flexible with
excellent interpersonal skills and 18 months to 2 years experience
gained within an investment or asset management environment.
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Looking to move out of Control Room?
£ Excellent + bonus + benefits
Location - London
Ref – 7809
Our client, a leading global investment bank, is interested in
candidates who are looking to move from a control room environment
into a business advisory role.
Working as part of a small but expanding team the role will focus
on their debt capital markets business and encompass:
· Active involvement in the Global loans approval process
· Active involvement in the distresses debt business
· Providing compliance support and assistance to the structured
products origination business
· Adsvising on and creating new policies and procedures
· Participating in on going training programmes
· Building strong working relationships with the business
to ensure the smooth running of the businesses from a compliance
perspective
The right mind set is more important than product knowledge, my
client is looking for individuals who are bright, pragmatic, can
learn quickly and who are looking to take on responsibility. If
you have 2 to 3 years control room experience and are looking to
move into a dynamic and challenging environment then please contact
me.
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Junior Compliance Analyst
£30 – 35,000
Location – London
Ref – 7813
Our client, a highly respected and successful, independent asset
management firm, has exclusively retained us to recruit a young
compliance analyst.
Due to organic growth they are now looking to recruit an additional
compliance professional to work closely with the head of compliance
in a varied role encompassing:
· Assisting in the performance and the development of the
compliance monitoring programme
· Maintaining records of Approved Persons, PA Dealing etc
· Assist in the development and delivery of compliance and
anti money laundering training programmes
· Providing advice to staff on regulatory and compliance
issues
· Extensive contact with both internal and staff outside
the firm including lawyers, accountants etc
Suitable candidates for this role need to have at least one years
hands on compliance experience as well as excellent inter personal
skills and the ability to thrive in a dynamic, rapidly growing business
environment.
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Operations Compliance Analyst
£25 –28,000
Location – City
Ref – 7815
Our client, a leading international investment management group,
is currently looking to expand its compliance department by recruiting
a junior compliance analyst.
Working as part of a high profile team the role will focus on:
· Ensuring client guidelines are inputted and monitoring
any exceptions
· Monitoring of client guidelines
· Contributing to the smooth take on of each client account
· Takeover panel disclosures
· Companies Act disclosure
· FSA transaction reporting
· Internal share disclosures
· Ad hoc project work providing compliance input into various
IT/Front Office initiatives
Suitable candidates for this role should have 1-2 years investment
operations experience gained within an asset management environment
with a basic knowledge of equity and fixed income products. Although
not essential some compliance exposure/knowledge would also be highly
advantageous.
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Compliance Administrator
£24 – 28,000 + benefits
Location – City
Ref – 7816
Our client, a leading international investment management group
based in the city, currently has a vacancy for a bright, ambitious
administrator to work with and support their compliance team.
Reporting to the head of compliance this is an extremely broad
based role which will involve:
· Developing and maintaining record keeping systems and facilitate
the reporting of key information to senior management
· Controlling the compliance intranet site and continue its
development
· Receive, log , review and report on breached and business
errors received by compliance
· Undertake compliance monitoring activities as support to
other team members
· Review financial promotions
· Diary management for the Head of Compliance and organising
papers for board meetings etc
· Provide administrative support to the compliance team including
diary management, travel booking, general typing and expense claims
Suitable candidates for this role should currently be working in
a financial services environment in an administrative/secretarial
position. Although some knowledge of compliance would be useful
specific experience is less important than personality and attitude.
Personal attributes required are strong communication skills –
there will be extensive liaison both within and outside the company,
flexibility, team player, independent, ability to work under pressure
and ability to use initiative.
This is an excellent opportunity to work for a progressive company
in a role which can be shaped and developed by the successful candidate.
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