compliance equity research jobs
1-10 of 43 jobs compliance equity research
Research Compliance World Leading Investment Bank seeks a research Compliance officer to join... . · Detail oriented, organised and very proactive. · Team player. · Equity and Fixed Income Research product... communications between research and origination including but not limited to sector discussions, vettings, market... . · Read and approve (with appropriate input from Research Counsel and SAs) all pre-deal. i · Understand
Contract: Permanent TBD
in mergers and acquisitions, underwriting of equity and equity-related transactions, high yield debt... experience in Compliance, Audit or Controllers Overview: Member of the Compliance Testing Group in London... , Merchant Banking, Private Wealth Management, Research, and Asset Management. The individual... . The individual should: Leverage strong communication skills to interact with compliance and business senior
Contract: Temporary
United Kingdom London United Kingdom | London jobs
Company: London4Jobs
in mergers and acquisitions, underwriting of equity and equity-related transactions, high yield debt... experience in Compliance, Audit or Controllers Overview: Member of the Compliance Testing Group in London... , Merchant Banking, Private Wealth Management, Research, and Asset Management. The individual... . The individual should: Leverage strong communication skills to interact with compliance and business senior
Experience: more details in job description
Requirements: more details in job description
-specifically emerging markets. A Compliance Officer role has arisen within the compliance department... for the firm. Based on the trading floor the role will involve monitoring and compliance advisory across... various products. The role will be working in a small team reporting directly into the head of compliance... . Responsibilities: Advise Equity Sales and Trading business on relevant rules and regulations Monitoring trading
Requirements: HBO opleiding
banking industry, preferably within an Equity Research environment. Minimum typing speed of 30 wpm.... in a leading research house that is developing distinct and thematic research product offerings. The Team... and market data sources, liaison with editorial, production, distribution and compliance personnel, quality... and production of research Notes and liaison with the Publications Group to disseminate the product as quickly
Contract: Permanent
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. An excellent opportunity has arisen in the equities compliance team to work in a diverse and highly-skilled... team. Key Responsibilities: Undertaking risk-based monitoring review of equity products and produce... in areas such as Equity Derivatives/ Cash Equities Build and create monitoring reports Actimize and MANTAS... and support the Compliance Manager with any ad-hoc transaction enquiries Ad-hoc projects as required Suitable
Requirements: HBO opleiding
their Compliance division and recruit an experienced Compliance Monitoring Officer covering all activities... and Equity Derivatives. The monitoring Officer will be undertaking real time and post trade monitoring... and execution -Market abuse -Conflict of Interest -Best Execution -Investment Research -PA Dealing -Client... communications -Pre and Post Trade Transparency Decisions may be taken on compliance related issues without
and is charged with carrying out research into the background of potential new client relationships (individuals... being exposed to fraud, money laundering or reputational risk. The research is carried out using online... working relationship is maintained with the Bankers, Risk Management, Compliance, as well as Fraud
Requirements: * The ability to carry out research with strong analytical skills including attention to detail and the accurate presentation of information. * The ability to meet deadlines whilst remaining flexible to prioritise urgent requests. * Ability to summarise
Jobs similar to "compliance equity research": entry level equity analyst, entry level research analyst london
London
Company: Alexander Ash ConsultingSalary: £60 to £80 per year
as lead IT consultant to the Equity, Fixed Income and Money Market Investment, Compliance and Trading... interaction with Research analysts, Investment managers, Traders and Compliance staff to understand
Contract: Permanent
Central, London
Company: Alexander Ash ConsultingSalary: £60 to £80 per year (package)
as lead IT consultant to the Equity, Fixed Income and Money Market Investment, Compliance and Trading... interaction with Research analysts, Investment managers, Traders and Compliance staff to understand
Contract: permanent
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