Investment Banking Jobs - Legal Compliance Jobs

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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... (e.g. Controls, Audit, Legal and Compliance) 7. New Business... parts of the Investment Bank and other Divisions of the bank, i.e. Wealth Management and Global Asset Management 6. Ability to articulate and effectively communicate business strategies...

Head of Operational Assurance

Salary:
£ 70000
Location:
London
Job Type:
Permanent
Date Posted:
02-Dec-2008 07:44Add to My Shortlist

Operational Assurance is an established team which resides under the Chief Operating Office (COO) function. Its role is to provide operational assurance primarily through the... to audit and compliance activities as well... banking, credit cards, investment banking, wealth management and investment management services with an extensive international presence in Europe, the USA, Africa and Asia. It is one of the largest...

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...

Compliance/ Audit Officer - Junior VP/ Senior Associate

Salary:
Up to £312 per day
Location:
The City
Job Type:
Temporary/Fixed Term
Date Posted:
02-Dec-2008 12:39Add to My Shortlist

An experienced auditor is required to join the Compliance Testing Group of a leading global investment banking, securities and investment management firm. This is an exciting... a leading global investment banking, securities and investment... audit and accounting, compliance and regulatory skills. The Compliance Testing Group is... the Securities Division, Investment Banking, Merchant Banking, Private... programs to assess compliance with regulations and... deadlines to evaluate compliance with rules and...

Snr/ Jnr Compliance Monitoring Officer - Equities

Salary:
mkt
Location:
London
Job Type:
Permanent
Date Posted:
28-Nov-2008 10:23Add to My Shortlist

Snr/Jnr Compliance Monitoring Officer - Equities £mkt rate This is an excellent opportunity to join a large International Investment Bank to monitor and analyse the sale... a large International Investment Bank to monitor and... activities by the investment bank for clients, market... providing first class compliance support keeping up... with the Equities Compliance Officer to further... with the Markets Compliance team. You will...

compliance officer Investment management

Salary:
45- 50k
Location:
London
Job Type:
Permanent
Date Posted:
27-Nov-2008 10:49Add to My Shortlist

Monitoring Compliance Officer c £50k This is an excellent opportunity to join one of the top Global Fund Management companies to provide compliance monitoring and... companies to provide compliance monitoring and advice... within the Investment Compliance Department, you will... for someone with compliance monitoring experience gained in investment management/investment banking in a trading environment. If you do not have equities experience, ...

Corporate Actions

Salary:
£20 - £25 pa
Location:
City Of London
Job Type:
Contract/Temporary
Date Posted:
26-Nov-2008 09:33Add to My Shortlist

Corporate Actions London 6 Months £20 - £25 Who They Are A prestigious Investment Bank based in the city. What You Will Be Doing Equity and... Procedural & Control Compliance with creation, review and update of existing procedures Increase levels of automation to eliminate manual input What They Are Looking For Knowledge of CFDs, SWAPs

Manager

Salary:
£ 60000
Location:
London
Job Type:
Permanent
Date Posted:
26-Nov-2008 19:30Add to My Shortlist

This role sits within a specialist consultancy firm with a business focus on Internal Audit, Risk and Compliance. Key clients are financial services companies, NGOs and Trusts. Typical assignments include assessment of Board and audit committee performance and assessment of assurance effectiveness. Skilled Financial Services Auditors from one of the following: Investment Banking, Investment Management "Big 4" accountancy practice background. You...

Senior Operational Risk Specialist

Salary:
£ 20
Location:
City Of London
Job Type:
Temporary/Fixed Term
Date Posted:
27-Nov-2008 15:16Add to My Shortlist

Interface with external and internal auditors, follow up on audit points Coordinate and assist in review of Sarbanes Oxley compliance, including templates, walkthroughs and test... BCM-Monitor and manage compliance with BCM policies... of AML and Compliance issues. A strong... and oversight. Large Investment Bank Market Rate Michael Page International is a world leading recruitment consultancy.

Global Markets Product Con, Intrnl Governance Contr-Leading Invst Bnk

Salary:
£53,000 - £65,000
Location:
London
Job Type:
Permanent
Date Posted:
27-Nov-2008 14:20Add to My Shortlist

Global Markets Product Control - Internal Governance Controller - Leading Investment Bank Docklands £53, 000 - £65, 000 Leading Investment Bank is looking on enhancing the corporate governance & £65, 000 Leading Investment Bank is looking on... areas of SOX Compliance, MI reporting for... Co-ordinating the SOX compliance process for Product Control, as well as the associated reporting requirements under the guidance of the Line Manager...

Fixed Income International Settlements

Salary:
£ 22
Location:
Canary Wharf
Job Type:
Temporary/Fixed Term
Date Posted:
27-Nov-2008 15:17Add to My Shortlist

*Prompt instructing and matching of all Repo trades within Euroclear. Experience of market, product and Tri-Party Repo desired. *Accurate recording and resolution of all issues... follow and demonstrate compliance with all relevant... A globally established Investment Bank Market Rate Michael Page International is a world leading recruitment consultancy.

Surveillance Officer

Salary:
£N/A - £N/A pa
Location:
City Of London
Job Type:
Permanent
Date Posted:
28-Nov-2008 09:47Add to My Shortlist

A high-calibre, extensively-experienced Compliance Surveillance professional is required for an Assistant Vice President role within global markets and investment banking of an eminent private wealth manager.... global markets and investment banking of an eminent... small team within compliance that is responsible... working with product compliance to help with... response to internal compliance enquiries. Exposure to... similar environment (e.g. Investment bank, securities exchange, regulator)....

Sales Assistant - Compliance/ Governance

Salary:
Market rate
Location:
Docklands
Job Type:
Permanent
Date Posted:
28-Nov-2008 00:00Add to My Shortlist

Leading Docklands based investment bank is looking for a sales assistant to provide administrative support to the Corporate Risk Advisory Sales Force. Main duties will include... standards - Assist compliance with desk reviews, ... KYC, credit and legal issues), sales processes and main Compliance topics such as... of contact for compliance issues and ensure... with KYC and Legal teams for process updates...

Financial Analyst

Salary:
£60, 000
Location:
London
Job Type:
Permanent
Date Posted:
01-Dec-2008 09:45Add to My Shortlist

Financial Analyst. A Financial Analyst is required by a Middle Eastern bank to be responsible for accounting and analysis of the expense base for the... in bank tax compliance. They must be... good knowledge of investment banking products such as capital markets, equities, bonds, derivatives, FX etc. Given the nature of the role, applicants must have previous/current banking or consulting experience.

Senior risk auditor

Salary:
Highly Competitive
Location:
Abu Dhabi
Job Type:
Permanent
Date Posted:
01-Dec-2008 10:15Add to My Shortlist

A leading investment bank is seeking an experienced and highly motivated candidate to become a senior auditor for their clients within risk compliance and operations. The role involves managing the risk assessment of the fixed income department for their major clients, providing recommendations in settlements/clearing, account reconciliations, trade processing, system authorization etc. You will also be responsible for supervising staff and...

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