Found 10 Jobs

Cost & Charges Analyst

I am Currently working with a Global Investment Manager based in London, who are looking for a Cost & Charges Analyst to join them on an exciting 6 month contract with a likelihood of extension. The ideal candidate will have a strong Asset Management background and the following skills/experience: Prior experience on a Cost & Charges project Fund accounting or Valuations background is desirable Knowledge of Asset Classes If you’re interested in this opportunity and have the required skills/experience then please send your latest CV to [email protected]

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.

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.

Compliance Adviser

I am currently working with a London based Investment platform that are looking to bring an experienced Compliance Adviser into their business on a permanent basis. The ideal candidate will have: 4/5 years compliance generalist experience within retail asset management Experience working with FCA sourcebooks – Including COBS, SYSC, PROD and SUP A solid understanding of Financial Promotions Experience of providing compliance advice on conduct business related matters An awareness of retail financial products – Including ISAs and pensions Some desirable skills include: A strong knowledge of the rule book – Including IFPRU/GENPRU and CASS Experience working on regulatory change projects Legal or compliance qualifications This is a great opportunity for the right candidate that is looking to work within a strong and capable compliance team with an outgoing and approachable environment .

Transaction Reporting Specialist

I am currently working with a Consultancy who are looking for a Transaction Reporting Specialist to assist on a 3-6 month assignment within an Asset Management firm. The firm are looking for someone to review and implement changes to their current Transaction Reporting processes. To apply for this role, you must have the following skills/experience: Extensive experience in MiFID II, EMIR and MIFIR reporting Product knowledge of various instruments, such as: Securities, OTC Derivatives and equities Asset Management and/or Consultancy background A good communicator – someone who can coach and influence the team If you feel that you have the required skills and experience, please send an e-mail to [email protected] with your latest CV and I will be in touch

Associate Consultant

Assoicate Consultant - London - Regulatory Consulting FourthLine are currently engaged with a Top Ten Consulting Firm. On a day to day basis the company deal with a wide range of Investment clients; most recently various projects have been obtained from FX Brokerage firms to Fund Managers. The firm deals with an array of clients across capital markets and is a great opportunity for candidates looking for exposure to different business models. A solid understanding of at least one of the following sourcebooks of the FCA Handbook: COBS, BIPRU, IPRU(INV), CASS, CONC and SUP Ideally 2- 3 years’ experience within the compliance space, either within an Investment Management environment or Capital Markets Consulting environment. Hands on experience of at least one of the wider pieces of UK/European Regulation: AIFMD, MIFID, Recovery and Resolution Directive, JMLSG notes, Money Laundering Regulations 2007, Data Projection Act, Senior managers Regime and the Payment Services Directive. Experience of working on a Section 166 project is also relevant. If this role seems of interest, or you would like to hear of any other Senior Consulting positions please respond with an up to date copy of your CV.

Managing this Role: Colm Conway

Compliance Officer

I am currently representing a London based Hedge Fund Manager looking to bring a Compliance professional into the business on a permanent basis for between 40,000 - 50,000. The role will be focused around generalist compliance activities including: Investment Mandate Adherence Best Execution Investment and Operational Risk Market Disclosure Market Abuse The ideal profile for this role will have: 1-3 years’ experience of working in Compliance and Money Laundering within the finance industry, preferably in Fund/asset Management. Good knowledge and experience of regulatory reporting An effective use of excel spreadsheets Pro-active and ambitions approach with a keen attitude to learn This is a great opportunity to give the right candidate a wide range of exposure on generalist compliance activities. There is a lot of scope for development and progression in this fast paced, hands on, role within a strong team

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