Head of Compliance Advisory
Leading Business Advisory Compliance professional who will develop and lead a small team focussing on intermediaries and international wealth management business streams. With a background in private client compliance covering a variety of jurisdictions, the candidate will have a front line role providing support to the business. Professionally qualified with strong stakeholder management skills. |
£75,000-£85,000
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VP Compliance
Compliance professional at VP level working within a leading global institutional asset manager, responsibilities for mentoring and training staff, advising on new product development and ensuring that the business is aware of the impact of regulatory changes and are provided with up to date and prompt regulatory advice. Knowledge of asset management products and services gained within a competitive business and the ability to build rapport with front office staff is essential. |
£80,000-£100,000
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Compliance Director
Graduate, holds CF10 for a mid-sized international wealth and asset management company. Manages team of 5 in compliance, reporting to the CEO, strong background in investment banking compliance and good product knowledge. Oversight of all compliance activities. |
£100,000-£120,000
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Head of Compliance - Stockbroking
An experienced compliance professional with an excellent understanding of the financial services industry, (especially stockbroking) to ensure the firms FSA compliance. Stand alone position in a small / medium sized firm. |
To £100,000
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Senior Compliance Adviser
An important hire for a leading global provider of consulting, outsourcing and investment where a strong knowledge of EU Mutual funds and securities regulations is a must. The purpose of the position is to assess the adequacy of the compliance programmes of investment sub advisers and operational service providers hired by the organisations’ investment management businesses in EMEA. The position works closely with the Chief Compliance Officer for EMEA and the Deputy Compliance Officer for the US operations. |
£60,000-£ 80,000
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Compliance Associate
Compliance Associate within boutique hedge fund, managing emerging market equities, reporting to Head of Legal/CF10. Role manages one assistant and is responsible for all day to day compliance activities, oversight of monitoring, developing policies advising the business on existing and emerging regulatory matters, assisting at board meetings as assistant to the Company Secretary. |
£60,000-£75,000
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Portfolio Monitoring Associate
Holding a key role in the business operations compliance/portfolio monitoring team within a market leading asset management company. Candidate will have prior relevant experience of Charles River / Sentinel and will know how to check portfolios daily. Product knowledge is beneficial, such as fixed income new product set up. The role will develop and monitor compliance with investment guidelines, coding and setting up of the compliance rules for new accounts and then supporting the business throughout the trading process. |
£40,000-£60,000
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