mifid compliance jobs
1-10 of 42 jobs
to hire a temporary Compliance and Finance Officer and is going to be a vital role for providing... continuous management information to the Director of Finance and Compliance and is accountable... for the monitoring of compliance procedures. The Finance and Compliance Officer will be responsible for financial... accounting for the company and its subsidiary/s, FSA regulatory compliance and fund compliance. It
Contract: Contract
London
Company: WH Marks SattinSalary: £51000 - £60000 Per Annum
Compliance Analyst Our client is a leading International Financial Services firm that services both... to retain the services of a high calibre Compliance Analyst to assist them on an initial 12 Month contract... of Compliance but also liaise with the relevant Investment Departments to ensure all recommended regulatory... ensuring that the new product lines are within set guidelines while also reviewing daily compliance
Contract: Permanent
, work extended hours and work well within a team. Job Purpose: To provide compliance support... to the Markets Compliance function, person will be located on the trading floor. Job Background/context... Responsibilities: the position will involve : Responsibilities for advising Markets employees on Compliance Issues... arising from their activities. Providing advice and assistance in resolving the compliance and regulatory
Contract: Permanent
Compliance Analyst Our client is a leading International Financial Services firm that services both... to retain the services of a high calibre Compliance Analyst to assist them on an initial 12 Month contract... of Compliance but also liaise with the relevant Investment Departments to ensure all recommended regulatory... ensuring that the new product lines are within set guidelines while also reviewing daily compliance
Requirements: ACA - Qualified
Contract: Permanent
The Compliance Manager position will primarily be focused on the activities of the Bank's Capital... Market business from a regulatory perspective and assist the Chief Compliance Officer in supervising... and guiding the organisation in UK specific compliance matters. This position will also involve assisting... the Local Compliance Officer in duties relating to the groups Europe Division. Candidates will preferable
Contract: Permanent
environment, MIFID, COBS, SYSC, AML, KYC, TCF. PERSON SPECIFICATION: Proven track record of Compliance... to investment monitoring reviews. Ensure Compliance procedures and records are being maintained and include... experience Team player - The Compliance team consists of a number of areas, covering multiple geographies
Contract: PERMANENT
branch network and policy; Work as part of the central compliance team Strong understanding of MiFID... compliance team covering a broad range of duties. The position includes responsibilities across the European... initiatives with regards to current regulatory regimes Work on establishing common compliance policy... throughout EU branches Risk-based monitoring Management of projects across the compliance department
Requirements: HBO opleiding
City of London London
Company: Advantage Professional - FSSSalary: 28000 - 33000 Per Year
and resolve any issues. - verify the clients categorisation in accordance with the rules of MiFiD... . - management of the referential database. - act as an intermediary between Front Office and the compliance team... with clients who are not classified under MiFiD. - participation in any project or legal environment changes... a compliance or client on boarding role from an Investment Bank or Asset Management Company and have
Experience: Experienced (Non-Manager)
Contract: Employee
by the Front Office is in accordance with the rules of MIFID. Performing single, multiple and mass creation... and Compliance teams if necessary, in relation to client creations. Management of internal referential database... maintenance Daily monitoring of trades done with clients who are not currently classified under MiFID... a background in investment banking ideally with some exposure to compliance or asset management departments
Contract: Permanent
London, London EC4
Company: Web RecruitSalary: Circa £45,000 - £55,000 DOE + Benefits
FSA Compliance Consultant - FSA Regulatory Compliance London EC4 Circa £45,000 - £55,000 DOE Plus... consultancy based in the City of London. They are seeking to expand their FSA compliance team... , and as such an opportunity has now arisen for an FSA Compliance Consultant to join them. As an FSA Compliance Consultant you... by attending meetings and preparing proposals - Preparing FSA authorisation packs - Preparing compliance
Contract: Permanent