Found 13 Jobs

Regulatory, Transaction and Trade Reporting Risk and Controls Associate - Wholesale Banking

Specifically, this role is charged with ensuring complete, accurate and timely submissions to the relevant ARM, Trade Repositories and Regulators covering Regulatory (G20, EMIR, MiFID II and SFTR) Trade and Transaction Reporting needs as well as the full suite of Regulatory Reporting needs for clients. Defining excellent process and quality controls to ensure regulatory reporting data is delivered to the highest standards and tested for potential errors • Investigating and resolving regulatory reporting exceptions through efficient liaison and escalation with multiple parties. • Working closely with project teams on implementations for new clients and new regulations providing requirements, reviewing design, planning testing, data migration and implementation phases • Establishing strong processes for data ownership and lineage, ensuring data used in regulatory reporting has clear ownership, provenance and data quality standards • Create Key Performance Indicators; ensuring that Compliance, Technology and Business partners are aware of issues and trends with respect to reporting. • Work with the Business, Operations and Technology teams to ensure all regulatory reporting obligations are met • Work with Regulatory SMEs to interpret and understand regulatory requirements to ensure existing processes are compliant and to implement changes where necessary • Represent the first line in the continuous improvement of Regulatory Reporting processes, identifying areas for improvement and automation • Assisting with any agreed remediation resulting from 2nd line regulatory compliance monitoring or Internal Audit reviews. • Ensure timely and accurate capture of events and input into Risksmart as well as performing root cause analysis and oversee completion of actions • Update the MA Team Handbook with respect to tasks undertaken for Transaction and Trade Reporting • Proactively manage risk; meet all policy and compliance requirements; perform controls; adhere to Process and Procedures pertinent to role; and escalate events, issues or breaches as they are identified

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Managing this Role: Jodie Sable

Risk and Controls Senior Associate - Wholesale Bank

As a Senior Associate with Controls Testing responsibilities you will be responsible for conducting control assessments (including Operating and Design Effectiveness) which support and assist the business to execute their risk management accountabilities. This role is critical in driving risk assurance awareness, understanding, and change to create a Centre of excellence for controls.

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Managing this Role: Jodie Sable

Regulatory Due Diligence Risk and Controls Senior Associate - Wholesale Bank

The Senior Associate is accountable for assisting the Associate Director in providing risk and control specialist guidance and support to the Corporate Finance, Client Coverage, and Customer On-boarding and Regulatory Due Diligence teams in the UK.

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Managing this Role: Jodie Sable

Senior Consultant

Senior Consultant - Really exciting opportunity with a Global Law Firm who are in the process of building out a Regulatory Consulting practice within the wider firm. This is a great opportunity for experienced Regulatory Consultants to stamp their mark within a Practice that has alot of resource behind it and will be experiencing substantial growth over the next couple of years. The Client is looking for generalists who have had strong experience around a range of projects from: - Authorisations -

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Managing this Role: Colm Conway

SMCR HR Analyst

LOCATION: London – City RATE: Up to 400p/d CONTRACT LENGTH: 3-6 Months SECTOR: Consultancy/Asset Management RESPONSIBILITIES: Data and SMCR documentation into new SMCR system Track change in alignment with recruitment, IT and HR systems Coordinate Certification and Conduct employee systems processes e.g. activation of certification cycle, conduct attestations, escalation and follow up emails to respective employees and managers Drive system requirements for formal notification and reporting to FCA in relation to Conduct Rule breaches Administration of SMCR related processes - Responsibility Map, job description (formulation, completion and maintenance), Responsibility Matrix, Delegation Matrix, handover processes and staff certification. EXPERIENCE REQUIRED: Solid understanding and experience of SMCR Regulation within a regulated financial services environment, preferably Asset Management Experience in HR process, preferably in Asset Management SMCR systems experience is paramount – Redlands preferred, but other SMCR tools will be considered If you have the relevant experience, or you know someone who may be interested, please do get in touch with an up to date CV.

Compliance Manager

FourthLine are exclusively representing an up and coming financial technology provider as they look to hire a Compliance Manager to their expanding London operation. The company has gone from strength to strength over the past two years offering services such as peer to peer lending, pre-paid card services, currency exchange and much more. They continue to grow across Europe and have plans to offer services in North America. Joining the Group Compliance team, you will have specific responsibilities for the wealth and trading products. You will become the CF10 for this particular area of the business. Working very closely with the Head of Group Compliance and the Head of Wealth and Trading, you will take ownership of: Designing, amending and implementing relevant policies and procedures for the wealth and trading arm of the business Review and sign off of financial promotions and other marketing materials. Horizon scanning and providing recommendations to the wider compliance and legal team about potential changes needed within the firm. Working closely with the Head of Trading and Wealth to design and get regulatory approval for new products To be considered for this position you must have: Legal qualification in the UK Knowledge and experience of regulations and compliancebest practice that apply to retail investments products, ideally stock brokerage or wealth management You will ideally have: Experience working for a compliance consulting firm or a FinTech Provider Tech or digital background, and able to work with various digital platforms Previous experience as a CF10 would be ideal, but in no way essential. To find out more about the firm and the role, please contact Robert Morrison on 0203 800 1547 [email protected]

Compliance Rule Coder - Charles River

ROLE: Charles River Compliance Rule Coder LOCATION: London LENGTH: 6 Months RATE: Market Rate A leading Investment Management firm are on the look out for a Charles River Compliance Rule Coder to work on a Charles River Implementation piece. I'm looking to speak with CRD Rule Coders with 5 years experience in this capacity, to take a significant role within the Compliance team. A thorough understanding of Charles River is essential. Role Details; Purely Compliance Rule Coding Coding and inputting rules into the systems, liaising with stakeholders and data teams Collaborating with Data teams in relation to requirements for Coding Profile: Self-starter Strong stakeholder management If you qualify for the role above, or know anyone who may be, please get in touch.

Compliance Manager

I am representing a London based wealth management firm who are looking to bring a mid-level generalist compliance officer into their firm. This role assists with general compliance activities including monitoring; reviewing of new clients and general support to the business. This will include preparing reports, reviewing compliance policies and procedures, and reviewing regulatory developments. I am looking for a generalist compliance professional with 3-5 years’ experience in a similar wealth management firm with a keen interest in compliance, good presentation skills and an ability to present to senior board members. Great opportunity for the right candidate looking take the next step in their career and have ownership over compliance at a reputable boutique wealth manager. London based - 50,000 - 55,000 – Permanent position

Senior Consultant

Senior Consultant - Regulatory Consulting A very well regarded Regulatory Consultancy are looking for an Insurance focused Senior Regulatory Consultant.

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Managing this Role: Colm Conway

Compliance Officer

I am currently representing a London based Asset Management firm that are looking for a bright, energised and motivated individual, who is keen to learn and looking to work in a top-quality asset management house within a very positive, friendly, non-status, team-orientated environment. This is a permanent position and would join the strong, current standing Compliance team as an Officer The ideal candidate will have: 5/6 years of experience in investment Compliance within asset management. Strong knowledge of fixed income and bonds. Solid understanding of UCITS and AIFMD Post trade expertise and can assist/develop on pre trade Experience Identifying, investigating and reporting breaches An ability to manually review guideline restrictions This is a great opportunity for an experience candidate that is looking for their next step, in a position where they can thrive, grow, develop and take an active and collaborative approach to Compliance.

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