Equities Jobs - Legal Compliance Jobs

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Investment Management Compliance Analyst

Salary:
£20 - £25 p/h
Location:
Docklands
Job Type:
Contract/Temporary
Date Posted:
28-Nov-2008 10:54Add to My Shortlist

Working as a Compliance Analyst at this leading global investment manager based in the Docklands you will have primary responsibility for daily trade surveillance, employee... monitoring and other compliance administration matters. The role of Compliance Analyst is offered... US. The wider Legal and Compliance Division is responsible for providing legal and regulatory support... global investors in equity, fixed-income, asset allocation...

Chief Operating Officer - Prime Services Asia-Pacific

Salary:
Highly Competitive
Location:
Hong Kong
Job Type:
Permanent
Date Posted:
28-Nov-2008 08:19Add to My Shortlist

Description Reporting to the APAC Head of Prime Services, the APAC Prime Services COO will work closely with the regional Prime Services business heads, business... and the overall equities COO office. The... of Prime Brokerage, Equity Finance (Stock Loans... (e.g. Controls, Audit, Legal and Compliance) 7. New Business Initiatives / Development 8. Assist with strategic business planning 9. Business Continuity...

Operations Analyst

Salary:
£40k pa
Location:
City Of London
Job Type:
Permanent
Date Posted:
28-Nov-2008 11:22Add to My Shortlist

The Company A newly established, London based UK securities and investment firm are looking for professionals who would like to join us as part of... international securities, debt, equity and derivative instruments.... the Sales and Compliance Departments *Developing a... and in strict compliance with the regulatory... processes, standards of legal, regulatory and industry... who have a legal right to work...

Compliance Officer - Boutique Firm

Salary:
c£100k
Location:
London
Job Type:
Permanent
Date Posted:
28-Nov-2008 13:19Add to My Shortlist

Compliance Officer - Boutique Firm c£mkt rate Our client, a boutique and entrepreneurial Financial Institution is looking for a dynamic individual to ensure the Companys... applicable regulatory and legal requirements, in line... day to day compliance activities including developing... and maintaining corporate compliance policies and procedures, ... will also undertake compliance monitoring, AML responsibilities, ... deep pool of compliance experience ideally gained...

Investment Management Compliance Analyst

Salary:
£20 - £25 p/h
Location:
Docklands
Job Type:
Contract/Temporary
Date Posted:
28-Nov-2008 10:54Add to My Shortlist

Working as a Compliance Analyst at this leading global investment manager based in the Docklands you will have primary responsibility for daily trade surveillance, employee... monitoring and other compliance administration matters. The role of Compliance Analyst is offered... US. The wider Legal and Compliance Division is responsible for providing legal and regulatory support... global investors in equity, fixed-income, asset allocation...

Counterparty risk

Salary:
£45k - £50k pa + benefits
Location:
City Of London, Docklands, East London, North London, North West London, South East London, South West London, West End, West London, London
Job Type:
Permanent
Date Posted:
28-Nov-2008 17:59Add to My Shortlist

The Trading Credit Risk Management team (TCRM) is responsible for approving and monitoring equity and equity derivative transaction credit risk. TCRM are is part of transaction credit... in respect of equities and equity derivatives transactions; -... fund managers for equity products; - Monitoring... Group Risk Management, Equities and Equities Derivatives Traders and Sales, Compliance and Legal personnel, as well... - Experience in equity repo/reverse repo, stock...

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