Our client, a leading corporate and institutional bank, are looking for a permanent Head of Transaction Monitoring to work in Risk and Quality (‘R&Q’), a first line unit with responsibility for non-financial risk areas, which include Financial Crime, Operational Risk, Cyber and Information Security and Compliance.Details...
Our client is a leading asset manager with a diversified range of actively-managed products. They are a global business supporting individual and institutional investors.
An opportunity has arisen for an Compliance Manager to join Investment Guideline Compliance. The successful candidate will be a monitoring resource, for both investment restrictions and threshold disclosures. This is a highly visible role within the firm and offers the successful candidate substantial breadth of experience within a dynamic environment.
The objective of the Investment Guideline Compliance team is as follows:
Oversight and support to all fund management desks and the central dealing function in respect of investment guideline related matters;
Investigate, prepare and generate market disclosures for threshold crossings.
Investment guideline monitoring of pre and post trade alerts;
Working with client services teams to prepare for account on-boarding and closing;
Working with operational teams to address any challenges arising from exceptions;
Preparation of reporting documentation for review by senior management;
Represent compliance interests in business projects and working groups;
Provide advice and guidance to the business on regulated fund and segregated mandate guidelines;
The opportunity for a Head of Compliance to join a leading global asset manager. The firm currently manages c.$150 AUM and is the real estate arm of a large global asset manager. Your role is essential to the team and you will be working closely with the Group CCO and other members of senior management to further grow the business throughout Europe. The Head of Compliance will assume the SMF 16/17 after an initial period and is expected to manage a team of five compliance staff across Europe.Details...