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[part-time] Compliance Officer- S166 at Badenoch & Clark

2012-02-22 12:03:30

Location: Bedfordshire
Description:

A niche financial services broker based in the UK are seeking to hire a compliance officer to join them on a part time basis.

The responsibilities include:

Detailed reviews of S.166
Expansion of scope of business applications with FSA
Strong Legal background
Good background in Retail broking.
Assisting with ad hoc compliance monitoring

If interested please contact Nick Talreja 0207 634 0149, please note this is a part time role covering 3 days per week.

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[contract / temp] HR MI Analyst at Badenoch & Clark

2012-02-22 12:03:25

Location: City Of Edinburgh
Description:

A major financial services organisation is looking to employ an HR MI Analyst on a temporary basis at a rate of 250/day – 350/day (maybe higher dependant on candidate). The role holder will be responsible for implementing planned FTE reporting improvements, including documentation and communication as appropriate.

Banking and Financial Services experience ideally.

Objectives:

* Drive production efficiencies through the use of automation on FTE reporting
* Working with other HR teams and other business areas to provide data
* Produce MI to specified timelines

Required Skills:

* Oracle/MS SQ/MS Access/Finance system experience preferred
* Effectively engaging with stakeholders through managed calls and tactical dialogue to establish solutions
* Understanding and using project methodology to progress work
* Experience of FTE reporting and analysis
* Using standard MS Office applications as primary toolset for extracting, analysing and producing MI
* Advanced excel skills (including Visual Basic) essential
* Oracle/MS SQ/MS Access/Finance system experience preferred

If you feel that you are suitable for this exciting new role, please do not miss out on your opportunity. Apply Now!

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[full-time] Lawyer - Regulatory & Financial Services at PSD Group

2012-02-22 12:03:24

Location: UK - Yorkshire
Description:

About the clientOur client, an international legal practice, is looking to recruit a qualified lawyer for their Yorkshire based Financial Services Department.

About the role

The successful candidate will ideally be 1-2 years post qualified and have preferably gained at least one years industry experience within Financial Services.

What we’re looking for

This is an exciting opportunity, working within one of our client’s most active sectors. Typical clients include IVAs, Hedge funds, Insurance Companies, Investment Banks, who rely on our client to provide up to date regulatory expertise and advice.

For further details on this opportunity please contact Carwyn Evans on 0161 234 0332 or email your CV to carwyn.evans@psdgroup.com

About the offer

c. £Market Rate

Eligibility

You must be eligible to live and work in the location advertised. PSD embraces diversity and is committed to providing equal opportunities for candidates.

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[full-time] Monitoring & Surveillance Compliance – Trade Surveillance Experience Req’d at Compliance Recruitment Solutions

2012-02-22 12:03:23

Location: London
Description:

We are recruiting for a leading Investment Management Group. Duties will include:

Prepare and analyse trading data for suspicious activities
Coordinate follow up, escalation and reporting of items arising from surveillance, testing and other compliance oversight activities
Helping to identify and assess regulatory compliance risks and develop programs to test these risks
Conduct periodic testing and monitoring reviews of various compliance related processes and controls
Assist with regulatory compliance oversight of non-US portfolio management trading
Support the compliance programs outside the US
Participate in ad hoc projects as/when required

The successful candidate will have Compliance surveillance experience (& be willing to learn monitoring if not already gained some experience of this) within Investment Management or Investment Banking/Securities Trading. You should also have good awareness of products/asset classes and the financial markets generally.

Please call Chris Clarke on 020 7330 6963 for a confidential no obligation chat about this position or send your details to him as below.

Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.

The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.

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[full-time] Compliance Monitoring Officer (home / field based) at PSD Group

2012-02-21 12:03:33

Location: UK - West Midlands
Description:

About the clientOur client is a provider of compliance support services and is heavily involved in the IFA arena. The firm are looking to recruit a home/filed based file checker to cover the Midlands financial services market.

About the role

In this role you will work from home and spend time at various firms conducting on site file reviews, checking business across arrange of areas including Life, Pensions, Investments, Mortgages etc. You offer advice and guidance, on going support to these firms and training / developmental support where required.

What we’re looking for

· Experience of file reviews · Excellent knowledge of the regulatory regime and the regulatory requirements · Experience in financial services products and offerings, and have a good knowledge of current industry best practice This represents an excellent opportunity for a compliance professional to undertake a varied role helping with the changing demands of the business on a daily basis.

About the offer

c.£35,000 – 40,000 + Car allowance + Benefits

Eligibility

You must be eligible to live and work in the location advertised. PSD embraces diversity and is committed to providing equal opportunities for candidates.

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[full-time] Head Of Operational Risk at PSD Group

2012-02-21 12:03:31

Location: UK - London
Description:

About the clientAn excellent opportunity to work for a large Investment Bank in a Senior position with global responsibility.

About the role

Responsible for overseeing the Security Services and Payments / Cash management area globally to ensure risk is identified and managed effectively. Performing independent reviews and assurance that key controls are effective. This will involve managing two direct reports and several indirect reports across the world. Acting as the relationship manager and business advisor ensuring line management carry out effective operational risk monitoring.

What we’re looking for

The candidate sought will have a proven track record of working with advanced operational risk frameworks. Previous experience of Securities Services, Custody and Fund administration is essential.

About the offer

The role offers the candidate an opportunity to work for a successful bank in a growing and developing Operational risk group with global exposure. The role has significant stakeholder management and decision making capability.

Eligibility

You must be eligible to live and work in the location advertised. PSD embraces diversity and is committed to providing equal opportunities for candidates.

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[full-time] Junior Compliance Officer at Badenoch & Clark

2012-02-21 12:03:28

Location: Bradford
Description:

Badenoch & Clark are currently recruiting for a permanent Junior Compliance Officer for our client in Bradford. This role is ideal for either a graduate of junior Compliance Officer looking for a role offering career progression.

The role:
*The Compliance and Risk team are expanding in numbers and this will be the first role to join their team.

The responsibility:
*You will be responsible for checking and signing off product documentation, including checking spelling, grammar and Terms & Conditions
*You will expected to give presentations to the Sales team on compliance issues
*You will be assisting in the implementation and management of compliance monitoring procedures

The requirements:
*You must have a genuine desire to start or continue a career in Compliance and you should be able to communicate this.
*You must have an excellent grasp on written English
*You must be confident and capable of presenting information to large groups of people
*You must be confident, highly motivated and willing learn.

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[full-time] Break into Full Compliance – Lloyd’s Insurance at Compliance Recruitment Solutions

2012-02-21 00:03:27

Location: London
Description:

Our Client, a leading Lloyds syndicate is looking to recruit a Compliance Assistant to support the UK Compliance function. Reporting directly to the UK Compliance Manager, duties will include:

Providing advice to the business in respect of compliance related issues including Lloyd’s and FSA requirements, international licenses, sanctions and export controls & TCF
Assist in the delivery of the compliance monitoring programme
Track the completion of actions arising from reviews and ensure completion
Summarise findings in regular reports
Reviews customer documentation and complaints to ensure customers are treated fairly
Maintain the complaints register and monitor complaints and other regulatory deadlines
Keep up to date with regulatory developments
Review and summarise relevant bulletins/consultations
Ensure regulatory changes are communicated to the business
Organise compliance training/awareness sessions and assist with the preparation and delivery
Assist with maintenance of licenses and submission of US Surplus Lines regulatory returns
Manage scratch registrations with Xchanging

You will be of graduate calibre and ideally have previous compliance, from any insurance or retail financial services firm. Of equal importance is your ability to integrate within a lively yet professional working environment.

This is a fantastic opportunity to break into a full time compliance position within the stable and well paid Lloyds/General Insurance environment in a dynamic and successful global organisation. Additionally the role will give you the opportunity to study towards relevant professional qualifications as well as develop your long term career.

Please call Spencer Herbert on 020 7330 6960 for a confidential discussion about this position or send your details to spencer@compliancerecruitment.com

Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.

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[full-time] Compliance Operations Officer at PSD Group

2012-02-20 12:03:24

Location: UK - North West
Description:

About the clientDue to continued growth, my client a leading debt solution finder is looking to expand it’s Compliance Team.

About the role

· Based at their North West Head Office and working alongside the Head of Compliance, you will be actively involved with the following: · Contribute to the achievement of compliance aims and objectives by providing appropriate compliance advice and guidance to the HOC and management colleagues · Maintain the Group’s Compliance Manual and breach register; and to develop and maintain a Compliance Operations Manual · Ensure our client’s policies on: Anti Money Laundering, Complaints, Data Protection, Ethics and External Enquiries are maintained and fit for purpose · Oversee our client’s compliance monitoring programme, including regulatory change monitoring · Oversee the compliance training and competence programming for the Group · Coordinate the Group’s compliance audits and regulatory & supervisory visits; including responses and regulatory reports & returns, as required · Manage the compliance Training & Competence (T&C) programme for the Group · Deputise for the HOC, as required · Develop and implement mechanisms for demonstrating Group compliance with ABC, TCF and ethics matters, including through analysis of MI · Assist the HOC with analysis of regulatory environment, Ethics Officer and TCF duties

What we’re looking for

The successfully candidate should ideally demonstrate the following: Essential Criteria · Experience of compliance risk assessment and monitoring · Working at team leader level within a similar role · Knowledge of relevant legislation and best practice, including FSA · Track record of analysing issues and compliance operations (including audits & visits) Desirable Criteria · Knowledge of the our client’s business and the sectors it operates in · Professional qualification · Ability to foster and maintain a compliance culture · Experience of risk management and/or audit · Capability to deliver on strategic business objectives

About the offer

c.£30,000 – £35,000 + Benefits To apply, please call Carwyn Evans on 0161 234 0332 or email your CV to carwyn.evans@psdgroup.com

Eligibility

You must be eligible to live and work in the location advertised. PSD embraces diversity and is committed to providing equal opportunities for candidates.

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[full-time] Head Of Monitoring – Fund Management Monitoring or Audit Experience Req’d at Compliance Recruitment Solutions

2012-02-20 12:03:22

Location: London
Description:

We are recruiting for a global fund management firm looking for a Head of Monitoring to lead the London based team. Duties will include:

• Management and training of a team of compliance professionals.
• Design, development and implementation of the compliance monitoring programme for Europe, the Middle East and Africa (EMEA).
• Management and training of a team of compliance professionals based in London and Edinburgh.
• Mitigation of regulatory and compliance risk for the business across EMEA.
• Coordination with other EMEA based control functions, such as Internal Audit and Operational Risk, in addition to Regulatory Compliance colleagues within EMEA and other global regions.
• Preparation and delivery of reports and presentations to department and business unit management, Boards and regulatory bodies
• Working with the Global Head of Regulatory Risk and Controls to co-ordinate monitoring programs and leverage processes globally.

You should have strong compliance monitoring or audit (internal or external) experience of fund management, gained from a similar in-house role, a Big 4 or the Regulator. Previous staff management experience is also a must as there is room to develop and grow a team.

For further information or a confidential no obligation discussion, please feel free to call Chris Clarke on 020 7330 6963 or send your details to him as below.

Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.

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