1553 Legal jobs

Responsibilities: Oversee internal Compliance framework as well as policies and procedures. Give insight across a broad range of regulatory topics. Find practical compliance solutions on a number of regulatory topics. Oversee a team of Managers and Juniors. Conduct client calls to discuss Compliance tasks and monitor their conduct. Manage the ongoing compliance monitoring plan for a portfolio of clients (hedge funds, investment managers and other buy-side firms) Collate Compliance requests and discuss issues to the committee. Technical Skills & Qualifications: Significant experience working in an FCA compliance environment with a good understanding of the financial services industry. Good knowledge of investment products/markets. Strong knowledge of relevant compliance frameworks and practical procedures. Understanding of risk considerations regarding financial promotions, controlled functions and fund manager trading services. Proven ability to lead manager level teams and interact effectively with senior clients. Desire to work in an dynamic, fast-moving and entrepreneurial environment. Bachelors degree or similar Regulatory qualification.

Head of Market Abuse Surveillance, Global Markets, Vice President Location: London Who we are looking for: State Street's Global Markets business has established a Business Risk and Controls function that is focused on risk management on behalf of the first line of defense through the implementation of controls, execution of monitoring and testing, and ongoing oversight. The Senior Manager role is responsible for leading the team responsible for monitoring and surveillance of market activity on electronic trading platforms and related multilateral trading facilities (MTFs). Specifically, the role is focused on oversight of trading activity on State Street's active FX trade matching platform as well as the FX order execution venue for potential market abuse and adherence to the FX Global Code. The position reports into the Head of Business Controls for Global Markets and will work with the GlobalLink Business and Risk teams as well as Compliance, AML, Ethics, Legal and Audit. A successful candidate will need to take initiative, exercise independent thinking, juggle multiple tasks, set priorities, and meet aggressive deadlines in a fast-paced environment. The Senior Manager must have strong interpersonal skills and be interested in working with a global team. Why this role is important to us: The team you will be joining is a part of State Street Global Markets (SSGM). When owners and managers of institutional assets need research, trading, securities lending and innovative portfolio strategies, they turn to SSGM business unit. As our investment research and trading arm, SSGM's number one goal is to enhance and preserve our clients' portfolio values by applying technology, optimizing trading, and linking asset classes and markets across the world. Join us if making your mark in capital markets industry from day one is a challenge you are up for. Why you will be responsible for: As Head of Market Abuse Surveillance, Global Markets, Vice President you will: Manage a team responsible for the daily execution of surveillance and monitoring activities including reviewing reports and generated alerts and following up with business, risk, and Compliance partners Provide strategic direction for design and enhancements to the surveillance controls to ensure alignment with industry standards and account for new products, relevant product changes, and business acquisitions Lead ongoing assessments to ensure the control framework complies with regulatory requirements and expectations and is commiserate with the size, scale, and complexity of the risks posed by the Global Markets businesses Oversee investigations to include the completion of documented resolutions and escalation of issues as appropriate Serve as a subject matter expert with regulatory bodies as well as internal functions such as Compliance, Legal, and Audit Provide advice and guidance regarding surveillance controls and risk coverage, implementation of new technologies, and changes to existing or new products Ensure that the control framework is designed and operating effectively to mitigate risks and all relevant procedures and processes are adequately documented Lead a staff of professionals with responsibility for hiring, completing performance appraisals, and determining compensation Establish management reporting and present at risk and governance committees Additional responsibilities as required What we value: These skills will help you succeed in this role: Knowledge of industry regulatory requirements and industry best practices including the Market Abuse Regulation(MAR), global anti-money laundering regulations, and the FX Global Code Strong understanding and experience with Global Markets businesses and, specifically, FX trading Strong management and leadership skills; previous management experience in a global organization a plus Excellent analytical skills and attention to detail Additional requirements: Communication, influencing, and collaboration skills Education & Preferred Qualifications: 8-15 years surveillance experience preferred; consideration for risk, compliance, audit or control experience About State Street What we do. State Street is one of the largest custodian banks, asset managers and asset intelligence companies in the world. From technology to product innovation we're making our mark on the financial services industry. For more than two centuries, we've been helping our clients safeguard and steward the investments of millions of people. We provide investment servicing, data & analytics, investment research & trading and investment management to institutional clients. Work, Live and Grow. We make all efforts to create a great work environment. Our benefits packages are competitive and comprehensive. Details vary in locations, but you may expect generous medical care, insurance and savings plans among other perks. You'll have access to flexible Work Program to help you match your needs. And our wealth of development programs and educational support will help you reach your full potential. Inclusion, Diversity and Social Responsibility. We truly believe our employees' diverse backgrounds, experiences and perspective are a powerful contributor to creating an inclusive environment where everyone can thrive and reach their maximum potential while adding value to both our organization and our clients. We warmly welcome the candidates of diverse origin, background, ability, age, sexual orientation, gender identity and personality. Another fundamental value at State Street is active engagement with our communities around the world, both as a partner and a leader. You will have tools to help balance your professional and personal life, paid volunteer days, matching gift program and access to employee networks that help you stay connected to what matters to you. State Street is an equal opportunity and affirmative action employer.

A large global bank is investing and growing their financial crime technology and as such have several roles within the function. As the technology transaction monitoring AVP you will: Contribute to the testing and monitoring of the activities of the firms' clients and transactions to help minimise the risk that the group is used for financial crime Support the delivery of system enhancements and upgrade projects Support tuning of existing systems and reduction of false positives in EMEA Financial Crime. Taking a lead role in upgrading key systems, including design and implementation of User Acceptance Testing Supporting regional and local teams with compliance with governance requirements as stated in the Global Technology Standard. Supporting on-going and new Transaction Monitoring-related projects, driving and informing business requirements from a Financial Crime Technology perspective. Being a key contact for escalations from multiple 1st and 2nd Line teams across EMEA on all TM-related queries and issues. This is an outstanding role due to the team, culture and growth within the business. This role is unfortunately not open to those without prior experience in AML technology tuning. We are seeking: Previous experience using, testing and/or tuning transaction monitoring systems such as SironAML, Actimize, BAE NetReveal etc. Experience with project management and delivery Broad understanding of financial crime systems and in banking, and a general understanding of the concepts of risk management and control Strong understanding of testing, tuning,validation and assurance of Transaction Monitoring systems

This is a unique opportunity to shape something from the beginning, use your knowledge to inspire colleagues across over 60 countries, and grow a strong culture of Privacy across the Bank. KEY RESPONSIBILITIES: Able to identify and manage risk, and ethical decisions about use of data / Privacy as an organisation, working across different cultural drivers Advise on all regulatory changes regarding Privacy impact, GDPR, etc. globally Ensure the business' Data Protection policies are in accordance with all relevant international laws and legislation Lead and manage a small team of privacy professionals Ensure processes / systems can respond to individuals exercising their rights Escalate and resolve risk, conduct and compliance matters Define privacy performance controls and deliver training & mentoring on Privacy across the regions ESSENTIAL SKILLS & EXPERIENCE: Worked as a Data Protection Officer or Privacy Advisor or Privacy Counsel managing risks and developing pragmatic solutions to problems, including employee privacy related issues at a bank or other financial services firm before. Knowledge of Privacy regulations for the UK, Singapore, HK, India, Thailand,etc. Able to translate UK ICO recommendations & case-law into internal guidelines / documentation Ability to provide guidance on complex regulatory matters concepts into understandable recommendations Experience of implementing Privacy Impact Assessments with practical knowledge of Information Security principles A professional qualification, CIPP/E or Practitioner Certificate in Data Protection at BCS the Chartered Institute for IT Desirable: membership of the IAPP (International Association of Privacy Professionals) Ideally a Privacy Counsel (with a legal background) or someone from a FinTech or a Tech firm working on privacy ​ Contact Millar Associates, Craig or Lorraine on (0)

A buy side financial services firm Description Providing compliance leadership and guidance to the compliance officers, local management and relevant staff Act as Compliance Oversight and Money Laundering Reporting Officer Ensuring regulatory updates on a monthly basis are issued in timely manner and where required based on changes in regulations affecting the provided services Proactively identify situations that may pose significant compliance risk and ensure Compliance department guides management in the development/reviewing of applicable policies, procedures and business practices Providing advice and training on anti-money laundering, sanctions and privacy matters with the assistance of your local Compliance officers/Money Laundering Reporting Officer Working actively with the EU Regional Head of Compliance and Data Protection ensuring delivery and completion of the annual Compliance plan and supporting key areas of compliance risk in the relevant offices and is executed on a timely basis Supervise the Compliance Officers day to day AML tasks: reporting, liaising with law enforcement agencies and other external authorities to ensure high quality standards and compliance with group and regulatory standards Supervise the account opening approval oversight performed by the local Compliance officers, KYC periodic updates to KYC forms, on-going sanctions monitoring where necessary Ensure that Suspicious transaction monitoring and reporting to the relevant local authorities is performed by the local Compliance Officers/Money Laundering Reporting Officer in a timely and adequate manner Be the first point of contact for the Regulator, maintaining an open and positive working relationship with them and ensure high quality in any correspondence Implementation of regulatory implications of new product launches and service extensions Supervise the local compliance officers and ensure quality in the delivery of monthly reports to the EU Head of Compliance Profile A qualified compliance officer with broad experience across AML and Compliance UCITS knowledge, transfer agency, GDPR experience helpful Hard working, team player, good communication skills Job Offer great package, broad compliance expereince, approved person responsibility

I am working on a newly created role for a fintech. While there is strong sanctions knowledge within the team, this will be the first hire to be the escalation point for back office, and the SME for front office. The MLRO in this role is outstanding, and very supportive of the fact you will be helping to carve out sanctions as a specialism for them. To be considered for this role you must have: Proven sanctions advisory experience Ideally you will have strong understanding of the implications of the various bodies which implement sanctions controls You will have tweaked (or written) sanctions policy. To learn more about this role, or to apply today please email me on

Reporting to the Senior AML & Compliance Manager, who in turn reports to the MLRO, the AML & Compliance Manager will play a crucial role in supporting the establishment and maintenance of compliance policies and procedures, to comply with UK Compliance and AML legislation, rules, regulations and issues. Whilst sustaining strong relationships with the business, the AML & Compliance Manager will monitor and analyse the bank's compliance systems and controls, implement enhancements and perform quality assurance checks. The position will also act as SME on key regulatory topics, providing advice, direction and oversight of compliance. Applicants should be educated to degree level (preferably in a legal or compliance related field) and have financial crime experience gained within a banking environment. The ideal candidate would financial crime and regulatory compliance exposure across Corporate & Institutional Banking, Private Banking, Treasury, Trade and Sanctions.

Duties ● Promote and embed security controls in line with the information security programme. ● Promote and embed wider non-security controls in line with the legal, regulatory and contractual agreements. ● Good understanding of major certifications and standards (ISO27k, SOC2). ● Good understanding of data privacy regulations (GDPR). ● Develop methodologies to test and validate control effectiveness for security and non-security controls. ● Design and produce metrics and KPIs to measure controls maturity ● Drive IT vulnerability remediation process ● Manage data security classification and protection process ● Conduct third party assessments ● Undertake a programme of activities to, where possible, automate controls Requirements Essential ● Able to multitask and quickly shift context between technical and non technical context ● Familiar with ISO 272 and NIST 800-53 security controls requirements ● Experience with data privacy requirements and data flow management ● Familiar with Linux, Mac, and OSS software ● Experience in managing privileged access management ● Experience of working in, or closely with, a financial services compliance team ● Excellent interpersonal skills Desirable ● Enterprise GSuite security management experience ● Knowledge of Secure Web Filtering & Data Loss Protection tools ● Experience with administering Mobile Device Management ● Experience with Cisco devices and network management tools ● Familiar with Zero Trust networks and related security concepts ● Compliance qualifications ● Knowledge of risk based control design

Our Team: We protect Bloomberg. The Product Security team is dedicated to making our products and technologies as secure as possible. We report into the CISO, but work closely with engineering teams, product teams, and others across the organization to integrate security into the product lifecycle from design through deployment. Our colleagues depend on us to be application, network, and host security pros. We specialize in defining security requirements, performing application security assessments, and providing developers with remediation advice. On any given day we're performing security reviews on internal and third party applications, while evaluating processes, network design, and access controls. What's The Role: You'll be trusted to conduct security assessments from start to finish with minimal assistance. Depending on the project you may perform white, black, or grey box assessments and may develop proof of concept code to demonstrate the severity of findings. You'll tap into your "security instincts" to find vulnerabilities and break down complicated technical issues and the risks they pose to programmers, network engineers, system administrators, and management. You will collaborate with those teams to ensure correct design, development, and implementation of internal and customer facing projects. While deep technical skills are critical to success with us, we're also looking for fast learners who are passionate about security and are constantly researching to stay ahead of the newest threats. You should be analytical and love to problem solve. Teamwork is key so it's important that you know how to collaborate and be a great teammate. You'll Need To Have: Experience leading and performing static and dynamic analysis on customer facing applications, websites, and large enterprise networks A consistent record of discovering, analyzing, and exploiting application vulnerabilities and misconfigurations on Windows and Linux platforms The ability to work with stakeholders throughout the vulnerability lifecycle to communicate issues and provide remediation guidance Proficiency in reading, writing, and auditing C and C++ (or similar language) and the ability to pick up new languages/technologies Proficiency in at least one scripting language such as Python Experience developing custom tools when necessary Knowledge of ubiquitous encryption technologies (PGP, SSH, SSL, etc.) and common authentication protocols (OpenID Connect, OAUTH, SAML, RADIUS, LDAP, KERBEROS, etc.) Knowledge of secure network design and system architecture A Computer Science or technology related degree We'd Love To See: Proficiency in using IDA Pro, Ollydbg/Immdbg, Windbg, Burp proxy, and other software analysis/debugging tools Prior work as a consultant at a highly technical information security consultancy Publicly disclosed vulnerabilities (CVEs) and open-source tools What's It Like To Work Here? We work hard. We are ambitious and set ourselves tough business goals. We are a meritocracy, where everyone has a voice - not a job title. Working with people you trust, respect, and can collaborate with is more important than titles or position. Things move fast, and we want people who will enjoy working in this environment and feed off the energy. That being said, it isn't all about work. Giving back is one of our core values, and there are many ways to get involved in philanthropic initiatives, from helping local school kids with their reading, to helping clean up local parks and waterways. If This Sounds Like You: Apply if you think we're a good match. We'll get in touch to let you know what the next steps are, but in the meantime feel free to have a look at this: Bloomberg is an equal opportunities employer and we value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status. Competitive Salary + Benefits Opening Date: 11/03/2020 Closing Date: 09/04/2020

Who we're looking for The successful candidate will provide maternity cover for the Senior Assistant Company Secretary and will have day-to-day responsibility for providing governance advice and support to a range of companies in the Schroders Group, including entities regulated by the Financial Conduct Authority (FCA) and private assets subsidiaries, under the supervision of an experienced company secretary. In addition, there will be opportunities to assist senior members of the team in the management of more complex regulated entities and investment trusts. About Schroders We're a global investment manager. We help institutions, intermediaries and individuals around the world invest money to meet their goals, fulfil their ambitions, and prepare for the future. We have around 5,000 people on six continents. And we've been around for over 200 years, but keep adapting as society and technology changes. What doesn't change is our commitment to helping our clients, and society, prosper. The team The Asset Management Secretariat is a friendly, experienced, and inclusive team of six that collaborates extensively with the wider Schroders business. We are one half of the Governance team (the other half being the Corporate and Wealth Secretariat). The business considers us to be trusted advisors, and we work hard to maintain this confidence. What you'll do • Provide company secretarial services a range of companies likely to include two Core firms regulated by the FCA as well as a number of private assets entities. • In the context of each Core firm's governance framework, the candidate will be primarily responsible for matters including: - scheduling meetings - agreeing agenda items in accordance with the board meeting cycle and in consultation with an experienced company secretary and the Chairman; - collating board packs; - preparing draft governance board papers; - attending meetings and drafting accurate and timely minutes; - following up on meeting action points; - acting as point of contact for the board members and both internal and external advisers; and - collaborating with other teams in the business; • Assist on governance matters to ensure that the corporate governance arrangements are appropriate and in line with Schroders Group policy and practice; • Arrange the filing of documents with Companies House and other government bodies as necessary, including in respect of overseas branches; • Ensure compliance with relevant regulatory and statutory requirements; • Attend to requests certified copies of board resolutions and registers; • Arrange safekeeping of documents; • Maintain authorised signatories lists; and • Provide support to other members of the Asset Management Secretariat team as required, including in relation to investment trust matters such as Regulatory Information Service announcements. The knowledge, experience and qualifications you need • a graduate member or higher of The Chartered Governance Institute; • at least one to two years experience in attending and minuting board meetings; • competent computer skills, with a strong knowledge of Word, Excel and Powerpoint; • experience in using Board Intelligence, Diligent Entities and Worksite. The knowledge, experience and qualifications that will help • experience in financial services would be an advantage, but is not a prerequisite. What you'll be like • highly organised, able to prioritise and to deliver within strict deadlines; • confident, with the ability to hold the attention and respect of directors and senior management; • able to work quickly and accurately under pressure with minimum supervision; • analytical and highly disciplined; • proactive and self-motivated; and • an effective team player. We're looking for the best, whoever they are Schroders is an equal opportunities employer. You're welcome here whatever your sex, marital status, ethnic origin, sexual orientation, religious belief or age.

The Compliance team comprises over 45 individuals in the UK, reporting through to the Global Head of Compliance. The Compliance team located in the UK covers Investment, Distribution, Financial Crime Risk, Core Compliance and Wealth Management. Who we look for We are looking for a Compliance Senior Manager reporting into the Head of Global Investments Compliance. The Investment Compliance team is currently 8 individuals in the UK and 6 individuals across the Non-UK offices. Play a key role in aligning the compliance framework to supporting the Investment teams across Schroders asset management. The role will require the individual to interact with both senior compliance and business management. The activities include the provision of advice and support, surveillance and monitoring, training and assisting in strategic firm projects and implementation of new regulations. • Liaise on compliance matters, with overseas offices as necessary. • To have managerial responsibilities. • To advise and assist business management on compliance matters, acting as a trusted advisor and challenging partner. • To undertake risk based surveillance of investment management activity. • To support the delivery of relevant thematic reviews. • To support relevant business-led projects and development of internal policies and procedures. • To represent Compliance on various internal committees. • To review draft internal policies and procedures. Skills required • Experience in investment compliance and the application of evolving regulatory expectations to a dynamic business model. • Team / Staff management experience. • Regulator management experience. • Well-organised, self motivated and thorough. • Ability to communicate and present to senior management. • Good verbal, written communication and influencing skills. • Broad technical (markets and regulatory) knowledge. • Monitoring and surveillance experience/interest. • Experience or knowledge in all public and private asset classes (Private Equity, Real Estate etc.). Personal attributes • Team skills: A "team player" who displays a high degree of interpersonal skills, tact and diplomacy with all constituencies. Possesses strong collaboration skills with peers and colleagues within and outside the Compliance, Legal and Governance group. Respects and values people for what they do, not for their position and will seek, give and value feedback. Someone who drives the agenda by building credibility and enabling a change mind-set rather than issuing instructions. The individual needs to operate effectively as an experienced player and coach whilst always enabling diversity and inclusion. • Intellectual flexibility and project management: Ability to quickly grasp and solve complex problems and to prioritize multiple competing projects and initiatives and focus resources in line with such priorities. Astute at proactively identifying and shaping new industry, product or technical knowledge which will be advantageous to the business and awareness of current and evolving customer needs. Possesses a strong sense of urgency and an exceptional work ethic and is accustomed to a high degree of rigour, accuracy, detail and complexity. • Business Acumen: Has the desire and capability to get involved in the details of key business issues and possesses a high degree of credibility and industry knowledge. Operates collaboratively across business teams and can meaningfully translate corporate strategy to the Compliance team.

A desirable Central London location, my client is an expert at delivering exceptional service to their clients in the Private Equity space. They value individuals who go the extra mile to achieve excellent results. Description The Compliance Analyst will be responsible for working with the business to contribute to the overall compliance framework, and compliance monitoring and testing programme. This includes: Implement compliance monitoring and testing plans, and ensure that appropriate review procedures are followed. Produce detailed reports with recommendations based on these findings. Contribute to the continuing development, preparation and maintenance of the compliance and financial crime policies and procedures. Assist with the timely preparation and submission of reports and other filings by group companies to relevant regulatory agencies and bodies, or otherwise in accordance with applicable regulatory requirements Respond to regulatory and compliance questions and requests from the firm's key stakeholders and other departments. Assist the Compliance team in providing regulatory, compliance and AML/financial crime updates and reports to senior management and governing bodies of group companies, both periodically and on a one-off basis. Monitor the impact of any new regulatory developments on the organisation, making recommendations for necessary changes. Profile The successful Compliance Analyst will have: Experience of working in a compliance monitoring and testing role, or relevant experience of working in an external consultancy role. Knowledge of AIFMD & UCITS. Experience of working in the Financial Services industry, specifically within the Private Equity/Alternative investments industry. Exposure to dealing with financial services regulators in both the UK and US. Job Offer An extremely competitive salary with an excellent benefits package.

Main Responsibilities: Responsibility for the Risk & Compliance function and management of the corporate risk and compliance framework Attend to risk and compliance requirements and strategic matters Hold relevant Control Functions for the UK business Input across the global Risk & Compliance function Advise on all regulatory aspects affecting the UK business. Develop, implement and enforce risk strategy, plans and policies Presenting to existing and potential investors (with respect to risk & compliance matters) Presenting to and reporting to senior executives, committees and Boards Liaison with and management of external legal and internal audit providers Assist in the development of new product, services & any other business activities. Complete other strategic projects for the business as and when required. Job Requirements: Ideally 10 years Risk & Compliance experience within a similar Investment Management business. Previous experience holding relevant Controlled Functions preferable. At least 2 years experience managing a team. Degree educated, minimum 2.1, ideally within Law, Economics or Finance. Relevant professional qualifications an advantage. Excellent communication skills, both written & verbally. The CLARC Guarantee - we 100% guarantee that your CV will never be sent to a client without your prior expressed permission so all of your details are totally secure with us.

Delegation of Authority The Compliance Analyst reports directly to the Head of UK Compliance, Wealth Management who has delegated to him/her responsibility for the matters set out in this job description. Principal Responsibilities The principle responsibilities are: - To undertake daily responsibilities within the Compliance department, including advisory, reporting, disclosure, surveillance and monitoring, thereby assisting the Company to meet the regulatory standards expected by our clients and required by local regulators. Discharge of Responsibilities The Compliance Analyst shall ensure that all his/her responsibilities are performed to the highest levels of integrity, quality and transparency and in a manner most likely to promote the success of the Wealth Management Division and the Schroder Group. In discharging their responsibilities the Compliance Analyst shall: - Assist in the provision of advice on regulatory changes, day-to-day activities, specified projects, complaints, breaches, new products and services, and development of internal policies and procedures; - Assist in Compliance Surveillance, undertaking specified regular compliance reviews (e.g. client file suitability) and occasional special thematic reviews, including the identification and reporting of potential regulatory issues; - Assist in review of marketing materials from a compliance perspective; - Assist in maintaining required compliance records, including complaints, breaches and financial promotions; - Assist the review and process updates/amendments to internal policies and procedures; - Assist in responding to requests and review findings from Group Compliance and external or internal auditors on regulatory compliance matters; - Assist in the preparation of regulatory reporting to the PRA, FCA and Group Compliance; and - Liaise as necessary with members of the Compliance teams across the Company, the Wealth Management Division and Group Compliance. Reporting In discharging their responsibilities the Compliance Analyst shall: - Ensure that the Head of UK Compliance is made aware of any issues, in a timely manner, which in the Compliance Analyst's view are material and which should be communicated to the Head of UK Compliance, Head of Wealth Management Compliance, the Management Committee, the CEO, the Chairman and/or the Board. - Provide to the Head of UK Compliance an annual assessment of his/her own performance against objectives agreed with the Head of UK Compliance. Committee Membership None Board Memberships None

Role description: Reporting to a senior member of GM Compliance Advisory, the position will involve: * Provide day to day regulatory advice, assisting and resolving compliance and regulatory issues arising from GM business activities * Performing regular and ad-hoc monitoring and review * Advising the business on relevant rules and requirements applicable to the business * Key stakeholder for applicable regulation (e.g. MiFID, EU Benchmark Regulation, AIFMD, UCITS etc.) and FCA Thematic Reviews * Keeping up to date with regulatory changes affecting the business * Stakeholder in the regulatory projects (Mifid ll, Benchmarks Regulation and PRIIPS), tracking progress and reporting project results to ensure efficient and successful implementation * Analysing and impact assessing new regulations and briefing senior management accordingly * Participating in internal and external enquiries including, exchange enquiries, due diligence questionnaires and client on-boarding queries * Dealing with regulatory enquiries * Provision of regular and ad hoc training to the business on regulatory issues * Provide management information * Understand and keep up to date with the firm's business, products and the regulatory and commercial environment in which it operates to ensure that appropriate compliance policies, procedures and standards are implemented Key objectives critical to success: * Strong knowledge in regulatory affairs with regard of Global Markets businesses * Strong knowledge and understanding of FCA rules (particularly COBS, MAR, SYSC and COCON) and relevant European legislation. * Good knowledge in OTC derivatives (IRS, FX derivatives) and the relevant regulatory requirements * Good knowledge and understanding of Global Markets businesses. * Ability to work well under pressure and move between tasks quickly * Ability to follow direction and manage expectations * Strong approach to problem solving * Genuine interest in the Financial Services industry * Willingness to work in a trading floor environment with constant interaction * Have the drive and determination to assist with development of the Compliance function and will seek opportunities to add value

Main Responsibilities: Support the Head of Compliance as and when required on specific activities and projects; Produce reports and returns which may involve detailed research and analysis from within and outside the unit; Provide support, advice and guidance on appropriate compliance framework, policies and procedures. Build and maintain effective working relationships with the internal stakeholders Regularly review and keep up to date with changes in regulatory, legislative and market practices that impact the business; Job Requirements: Minimum of 18 months Compliance experience working for a financial services firm. Excellent communication skills, both written & verbally. The CLARC Guarantee - we 100% guarantee that your CV will never be sent to a client without your prior expressed permission so all of your details are totally secure with us.

• Monitor investment activity on a pre and post trade basis to ensure compliance with client guidelines, regulatory rules, prospectuses, and policies and procedures both on an automated and manual basis. • Review, interpret and summarize investment guidelines for new mandates and ensure proper restriction coding on the firm's order management systems • Test new and existing investment restrictions and ensure timely implementation of applicable investment guideline updates • Research potential violations and escalate as needed to resolve. • Work closely with Portfolio Management, Trading, and Operations to manage trade day alerts • Prepare client certification and Board Reports as required. • Assist in on-boarding and compliance setup for new accounts as needed. • Respond to ad hoc requests regarding trading and fund information. The successful candidate must have a minimum of five years' experience of both guideline monitoring and coding of investment restrictions, gained from a similar Compliance team or else from Operations. For further information or a confidential no obligation discussion, please feel free to call David Symes on or send your details to him at mailto: 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.

Summary: • Our Compliance Managers support and engage their business area on a range of compliance work including providing regulatory advice, designing and implementing policy, identifying risk events, providing training, managing business change, producing MI, managing FCA visits and external reporting. Key duties and responsibilities: • To work with the Head of Compliance Advice and other members of the Compliance team to determine which Compliance related projects and workstreams need working on and prioritising • To liaise directly with the FSA on any requests they make for information • To help improve the coordination, efficiency and the effectiveness of the Compliance Team • To critically assess approach to compliance and suggest improvements • Follow up required actions by monitoring and encouragement, and escalating where necessary Requirements Essential skills and experience: • Financial services or pensions related qualifications • Experience with SMCR • Good understanding of risk management • A strong understanding of the role of the FCA within UK financial services • Experience of dealing with the FCA including dealing with FCA supervision teams • Good level of product knowledge and an interest in investments and pensions. • The ability to interpret complex regulatory documents and communicate clearly • Good at building relationships with senior management • Able to work independently and manage workloads effectively

Residential Property Solicitor / Legal Executive / Conveyancer £35k - £50k Bexleyheath, Kent A large multi sited High Street law firm with over 500 employees in London and the South is currently looking for a residential property fee earner to join their busy Bexleyheath office. The firm currently has 25 offices in the SE of England with a reputation for providing accessible, affordable, personal service to their clients. They are a firm that invests in their people and promotes equality , diversity and inclusion. The role Based in a modern office in central Bexleyheath there is parking nearby and walking distance to all the amenities that Bexleyheath offers. The lawyer that joins will be managing a caseload of residential property matters, they will be part of a friendly and successful team. The role will suit someone who is looking to join a forward thinking and modern firm. What they are looking for? A UK qualified solicitor/legal executive or Conveyancer At least one years' experience in a busy residential property role It would be an advantage if you have previous supervision experience An enthusiastic and hardworking attitude An interest in business development Target driven and ambitious individual What they can offer? A generous starting salary and bonus Good quality residential property work The support of a large and successful law firm Inclusive company benefits Social events and networking opportunities Career progression Flexibility and inclusion For more information about this Residential Property Solicitor / Legal Executive / Conveyancer role please contacts Alison Banks at LR Legal Recruitment or to apply please do so within. LR Legal is a specialist legal recruitment agency with a reputation based on trust and integrity. We will always ask your permission before sending your CV to any of our Clients. *Please note our advertisements use PQE and salary levels purely as a guide. We are happy to consider applications from all candidates who are able to demonstrate the skills necessary to fulfil the role. Please be aware that due to the volume of applications that we receive if you have not heard from us within 48 hours your application has been unsuccessful...... click apply for full job details

Implement compliance monitoring and testing plans for group companies, ensuring that appropriate review procedures are followed, and producing detailed reports with clear findings and recommendations Contribute to the continuing development, preparation and maintenance of the group's compliance and AML/financial crime policies and procedures, as well as related training programmes Assist with the timely preparation and submission of reports and other filings by group companies to relevant regulatory agencies and bodies, or otherwise in accordance with applicable regulatory requirements Liaise and consult with external compliance consultants, both in respect of advisory services (e.g. special reviews) and technology services (on-line compliance platform/tools). Respond to regulatory, compliance and AML/financial crime related questions and requests from the firm's investment team, key stakeholders and other departments Assist the Senior Compliance Officer and Head of Legal & Compliance in providing regulatory, compliance and AML/financial crime updates and reports to senior management and governing bodies of group companies, both periodically and on a one-off basis Monitor relevant legislation, regulations, rules and guidance, assessing the potential impact of any new developments on the firm's business activities, systems and control arrangements, and making recommendations for necessary changes ​ Essential • Approximately two years' relevant work experience in financial institutions (ideally within an investment bank and/or fund management or advisory business), including a combination of compliance and AML/financial crime matters • Broad general knowledge of relevant legislation, regulation, rules and guidance impacting on the alternative/private funds industry, as well as the current regulatory environment and agenda • Familiarity with systems and control arrangements and operational best practices within financial institutions, with a particular focus on compliance and AML/financial crime matters Desirable • Work experience ideally should include at least one year as a compliance associate (or equivalent) within the alternative asset management sector (private equity, real estate/ infrastructure, or hedge funds) • Exposure to and/or dealings with regulators, especially FCA (UK) and SEC (US) • Familiarity with cross-jurisdictional situations and issues • Formal training as an accountant or paralegal

Construction Associate Solicitor A Legal 500 law firm, are looking for an experienced Construction Solicitor/Associate (minimum 3PQE), to join their thriving Construction team, within their Bristol office. This is an excellent opportunity for a Solicitor to take the next step in their career as an Associate, and join one of the region's most dynamic and reputable firms. This is what you'll be doing Work very closely with the Partner, to play an integral part in non-contentious matters, on high value large developments, infrastructure and energy projects Have a keen involvement within dispute resolution work Maintain strong client relationships with developers, contractors, public bodies and consultants Work collaboratively with other departments within the firm Involvement within business development activities The experience you'll bring to the team Solicitor or Associate Experience within construction law Wide experience in the NET, JCT and IChemE suite of contracts Ability to build strong relationships A commitment to progress your career And this is what you'll get in return Competitive salary Excellent bonus structure Health Care cash plan Pension scheme 25 days holiday (plus bank holidays, plus your birthday off, plus an extra day at Christmas!) Great city centre location Free legal services to staff Are you up to the challenge? If you believe that you have the skills and experience for the role - then please get in touch. We also offer a referral scheme for any candidates whose details are passed to us that we successfully place. If you have any further questions then please contact Rebecca Bond at Yolk Recruitment on . *Please note, whilst we do our best to contact all candidates, due to the high number of applications we receive we cannot guarantee this for every role. If you have not heard anything from us within 7 days of applying - then unfortunately you have been unsuccessful. Please keep an eye on our website for more opportunities.* Yolk Recruitment Ltd acts as an employment business for temporary positions and an employment agency for permanent positions. Yolk Recruitment Limited is committed to equal opportunity and diversity. Suitable candidates with equivalent qualifications and more or less experience can apply. By applying for this job you accept the T&C's, Privacy Policy and Disclaimers which can be found at YolkRecruitment.com...... click apply for full job details

Real Estate Solicitor A tier 1 Legal 500 Commercial Property team, are looking for an ambitious Real Estate Solicitor (NQ-2PQE), to join their central Bristol office. This is an excellent opportunity to act for well-known national clients, work with an extremely highly regarded team and to progress your career. This is what you'll be doing · As a Real Estate Solicitor, you will play a key part in a varied commercial property caseload · Build and maintain relationships with a varied portfolio of clients on a regional and national level, including private and public sectors · Dealing with matters relating to developments, education, healthcare and retail Work very closely with leaders in the field The experience you'll bring to the team Solicitor or Associate (NQ - 2PQE), with experience as a Real Estate Solicitor, or as a seat on your training contract Excellent attention to detail Driven to progress your career Experience working within a city or national practice is ideal Experience of working with a diverse range of clients Ability to build strong client relationships And this is what you'll get in return Competitive salary Excellent bonus structure Health Care cash plan Pension scheme 25 days holiday (plus bank holidays, plus your birthday off, plus an extra day at Christmas!) Great city centre location Free legal services to staff Are you up to the challenge? If you believe that you have the skills and experience for this Real Estate Solicitor role - then please get in touch. We also offer a referral scheme for any candidates whose details are passed to us that we successfully place. If you have any further questions then please contact Rebecca Bond at Yolk Recruitment. Please apply with a CV and a cover letter outlining why you're perfect for the role.We also have a referral scheme so if you know of someone who would be great for the role please get in touch. *Please note, whilst we do our best to contact all candidates, due to the high number of applications we receive we cannot guarantee this for every role. If you have not heard anything from us within 7 days of applying - then unfortunately you have been unsuccessful. Please keep an eye on our website for more opportunities...... click apply for full job details

MLRO Lead the business on AML, FCP and cross border co-ordination. Influence the group strategy and implementation on AML/FCP policies. To support the Chief Risk Officer and Head of Compliance to the highest standards in all matters FCP related. Ensuring all documentation and corporate filings are accurate. To produce the annual MLRO report. Work with SS&C and IFDS Luxembourg, Ireland and others to ensure consistent approach to Anti Money Laundering. To receive and escalate Suspicious Activity Reports (SARs), advising staff and Management Companies and escalating issues to the Head of Compliance as appropriate in accordance with procedures. To receive and reply to internal and external queries relating to SAR and Compliance cases. In addition, supporting the FCP Operations team on more complex cases. Ensure accurate and effective maintenance of the formal record keeping within SS&C's control framework for Financial Crime Prevention. Provide key data and updates for the internal monthly MLRO meeting. Co-ordinate the production of regular Senior Management and Board reports and User Group regulatory updates. Chair the quarterly FCP Forum for Management Companies. Analysis of FCA, JMLSG and industry papers, co-ordinating feedback from Management Companies where appropriate and respond. Assist the Data Protection Officer as required. Service Delivery Oversight of HMT/OFAC sanctions screening using Tonbeller. Review and update FCP sections of the: Corporate Governance Manual, Compliance Manual and Data Room resources, Management Company Service Management Documents (SMDs); and Operation procedures and Learning and Development training material to ensure they are updated to reflect regulatory/legal changes. Develop and Improve Communications Directing and influencing the Management Companies to assist the pragmatic and cost effective implementation of actual and proposed changes relating to Financial Crime Prevention regulations. To facilitate discussion and awareness of current and future regulatory issues with Senior Management and Board members. To share and ensure appropriate dissemination of regulatory knowledge. Provide support on legal, technical and regulatory matters and detailed FCP advice to the Compliance team and SS&C business areas. Attend and participate in ad hoc Management Company meetings where the topic is FCP related. Attend Management Company visit meetings in relation to FCP. Attendance at IA, TISA regulatory, technical and external compliance meetings and forums. Produce summary papers if applicable. Carry out such tasks from time to time as assigned by the Head of Compliance. The Ideal Candidate Minimum 10 years' experience at senior level working in a regulated financial services environment. Experience working in a professional service led environment with regulatory controls. Strong leadership skills with a track record of delivering on strategy and key initiatives. Strong sense of what's right and wrong and willingness to challenge and escalate as required. Extensive experience in senior assurance and advice roles - AML, Risk and Compliance. Maintain understanding and awareness of industry requirements, initiatives and developments. Able to champion and actively support cultural change. Desirable Professional from a global regulated financial services environment - either working in an internal function or a client facing "advisory" capacity.

Conveyancer Despite this uncertain time, a leading national firm are looking for an experienced Residential Conveyancer to join their thriving Bristol office. This is an excellent opportunity for a driven Conveyancer to progress their career with an established and highly regarded company, who work with a portfolio of blue chip clients. This is what you'll be doing • As a probate property conveyancer, you will liaise with conveyancing and probate teams, to support bereaved families through the administration of their estate • Handle a caseload of conveyancing queries from national clients and offices, including assent, transfer and voluntary registration files • Conduct registered and unregistered, freehold and leasehold title checking • Maintain excellent relationships with clients, by regularly updating them on their file, and utilising a case management system • Have a commitment to your professional development, and support more junior conveyancers in the team The experience you'll bring to the team • Experience of Conveyancing is essential • An understanding of unregistered titles is desirable • A continued commitment to progress your legal knowledge • Excellent client care and communication skills And this is what you'll get in return • Competitive salary • Free parking • Pension with up to 10% employer contributions • Free access to gym, fitness classes, pool, and spa facilities • 28 days holiday (rising to 32 in line with service) Are you up to the challenge? If you believe that you have the skills and experience for the role - then please get in touch. We also offer a referral scheme for any candidates whose details are passed to us that we successfully place. If you have any further questions then please contact Rebecca Bond at Yolk Recruitment. *Please note, whilst we do our best to contact all candidates, due to the high number of applications we receive we cannot guarantee this for every role. If you have not heard anything from us within 7 days of applying - then unfortunately you have been unsuccessful. Please keep an eye on our website for more opportunities. * Yolk Recruitment Ltd acts as an employment business for temporary positions and an employment agency for permanent positions. Yolk Recruitment Limited is committed to equal opportunity and diversity. Suitable candidates with equivalent qualifications and more or less experience can apply. By applying for this job you accept the T&C's, Privacy Policy and Disclaimers which can be found at YolkRecruitment.com...... click apply for full job details

Commercial Property Solicitor Our client is a well-established law firm based in Central Hereford. This new position is due to expansion of this highly regarded Commercial Property department, its an exciting opportunity for ambitious individual to work on a varied workload including commercial conveyancing, transnational work and agricultural caseloads. The successful candidate must have excellent technical ability and experience of handling a broad range of work, ideally having 2-3 years PQE; detailed knowledge of commercial conveyancing, strong technical proficiency and excellent attention to detail. This practice is growing and focusing their succession plan around their staff. This is a great opportunity to join a leading team with development opportunities. In return the company offer a competitive salary, ongoing training and opportunity for progression. For further information please contact Sallie Jones in the Cardiff head office for a confidential discussion or apply directly below...... click apply for full job details

Company Profile Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in 43 countries. As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence and strong team ethic. Morgan Stanley can provide a superior foundation for building a professional career - a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture. Department Profile Professionals within the Legal and Compliance Division ("LCD") provide a wide range of services to our business units. They might help to structure a complex and sensitive cross-border transaction; advise on a new product introduction; develop a training program or defuse an investor dispute. They preserve the firm's invaluable reputation for integrity and protect the firm from sanctions with policies and procedures that meet regulatory requirements around the world. They also strive to maintain cooperative relationships with governmental policy makers and the regulatory and self-regulatory agencies that govern the firm's businesses. Team Profile The Control Group is responsible for monitoring the Firm's Information Barriers, policies and procedures implemented to maintain said Information Barriers and pre-clearance of certain business activities that may present potential conflicts of interest. The Research & Investment Banking coverage team within the group is primarily responsible for the review of Research, chaperoning and gatekeeping communications between Research and the Private Side as well as personal account trade pre-clearances and the maintenance of the Firm's Watch and Restricted Lists. Primary Responsibilities Day-to-day responsibilities of the members of the Control Group Research and Investment Banking Coverage include, but are not limited to: - Ongoing Watch and Restricted List maintenance, including necessary interactions with private side deal team members or other relevant LCD or business unit contacts. - Documentation and relevant notifications under the Firm's Wall Crossing policies and procedures. - Review of Fixed Income and Equity Research against the Firm's Watch and Restricted List for compliance with relevant securities laws and with internal policies, such as the Firm's M&A Research Policy. - Chaperoning and gatekeeping of permissible communications between Research and the Private Side under the Global Research Settlement and relevant internal policies and procedures. - Employee trade pre-clearances for business units or individuals subject to trade pre-clearance with the Control Group due to their private side, Above-the-Wall or Over-the-Wall status. The "Control Group Manual" and the "Chaperone Manual", among other policy and procedure documents, provide further details on Control Group responsibilities. Qualifications: Skills required - Bachelors degree or relevant degree and/or experience. - Previous financial industry experience. - High attention to detail. - Strong interpersonal skills. - Strong communication skills. - Microsoft word/excel/outlook skills Morgan Stanley is an equal opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximise their full potential. Our skilled and creative workforce is comprised of individuals drawn from a broad cross section of the global communities in which we operate and who reflect a variety of backgrounds, talents, perspectives and experiences. Our strong commitment to a culture of inclusion is evident through our constant focus on recruiting, developing and advancing individuals based on their skills and talents.*LI-FH1

GMP Recruitment are recruiting on behalf of our client in Herefordshire for a Locum, Qualified Solicitor with extensive experience in Family Law, to join an expanding and award winning legal firm supporting their busy Family division. Our client is a highly regarded and expanding legal firm that offer a quality service across a range of legal matters to an ever growing client base. Their diversity, breadth of experience and unique level of hands-on expertise are their greatest strengths. Due to expansion they require a Family Lawyer capable of working across the whole range of Family Law Services while managing a team of two Paralegals, for a 3 -6 month contract. To be successful in this position you must demonstrate strong knowledge and experience within Family law matters. Locum Family Lawyer main duties: Provide high quality, efficient and effective legal advice and representation to the firm on matters relating to family services Manage a reasonable caseload of work related to the area of law with compassion and professionalism Assist in the supervision and training of less experienced staff Achieve billing, time and fee earning targets set and co-operate with the firm's credit control arrangements Continue to develop your personal skills and experience within your field of expertise Locum Family Lawyer required skills and experience: You will be Qualified Solicitor or Chartered Legal Executive entitled to practice You must be able to demonstrate an excellent oral and written communication skills as well as demonstrable skills and strengths in negotiation, drafting, persuading and influencing To succeed in this role you will have recent, in-depth knowledge and post qualification experience in the area of Family Law You must be able to work with other fee earners and seek advice and assistance whenever needed to develop knowledge and skills This position has an immediate start available. You will be offered a highly competitive hourly salary up to £35, commensurate with experience, plus use of the on-site gym and showers and free onsite parking If the above role sounds perfect for you, or you require more information, please click apply or contact GMP Recruitment directly for more information. GMP Recruitment are recruiting for this role on behalf of their client and are acting as a Recruitment Business...... click apply for full job details

Job Role: To contribute to the provision of a customer focused quality park service. To help manage, develop and enhance all aspects of contract and service delivery in area of responsibility. Monitoring contractor performance; site inspections and reporting defects across parks and playgrounds; managing minor improvement projects; supporting major improvement projects. Knowledge, including educational qualifications: Of parks and open spaces operations, service improvement and service standards Health and safety practices and procedures and how they operate in parks and open spaces Relevant legislation and how it relates to service delivery issues Understanding of the importance of Parks within an urban setting, how they contribute to regeneration and the importance of local ownership Contract management and monitoring Experience: Working with the public with the public and user groups to improve standards and develop collective ownership Marketing and communications Financial management including estimating, budget preparation and control Fundraising and project management Change management and successful deployment of staff and resources Working in partnership with local communities, internal and external agencies, and other stakeholders Please note this is a contracted position of 3 months with the possibility of extension depending on budgets and performance...... click apply for full job details

A global leading Payments and Foreign Exchange business are looking to recruit an exception Head of Financial Crime to lead the Financial Crime function. The role will be a blend of both operational and largescale strategic responsibilities. Managing a flat structure team of 8 individuals, you will be responsible for: Leading the Financial Crime team Designing and developing the financial crime framework Acting at the MLRO (SMF17), drafting the annual MLRO report and presenting the Board Provide subject matter expertise in areas of client onboarding, monitoring, reporting and wider Financial Crime policies and procedures. Undertake the annual Financial Crime risk assessment Act as the senior point of escalation for complex KYC, AML, CTF and Sanctions cases Build relationships with business partners to actively promote an effective Financial Crime culture Requirements: The ideal candidate for this role will have extensive experience within the Payments, Corporate FX or Card Schemes sector. You will currently or previously have held the CF11/SMF17 MLRO position. You will have experience of managing a financial crime team and have successfully implemented an effect financial crime framework. Ideally you will have worked with multiple regulatory jurisdictions. This is not a BAU role and will involve all areas of financial crime. You will be expected to be a true subject matter expert with the Financial Crime field and be at the forefront of developing regulatory changes. The role holder is expected to ensure that the Financial Crime framework, policies and procedures are constantly being checked to be fit-for-purpose and are effective for an ever-changing environment. If you would like to discuss the role in more detail, please get in touch with Patrick Gerard Dahill at Barclay Simpson, submit your CV to or apply on the link.

Who we're looking for We're looking for a highly effective Compliance professional to provide compliance consultancy services for an interim period to cover maternity leave in Shareholder Disclosures Team. About Schroders We're a global investment manager. We help institutions, intermediaries and individuals around the world invest money to meet their goals, fulfil their ambitions, and prepare for the future. We have around 5,000 people on six continents. And we've been around for over 200 years, but keep adapting as society and technology changes. What doesn't change is our commitment to helping our clients, and society, prosper. The team The Compliance Department operates to protect our clients, firm and staff by fostering compliance and ethical outcomes. The objective of the function is to minimise the likelihood of compliance risks materialising and manage regulatory risk within the agreed risk appetite. The department consists of four teams; Investment Compliance, Compliance Distribution Compliance Infrastructure, and Regulatory Development. The Share Disclosure Team forms part of the Investment Compliance Team. The Share Disclosure team are responsible for submitting timely and accurate notifications to regulators, exchanges and issuers in relation to major long shareholdings, Short reporting, Takeover Panel reporting, and Sensitive Industry disclosures. What you'll do • Manage compliance aspects, requirements and ongoing project work streams in relation to the implementation of Global Compliance share disclosure software • Scope and implement enhancement projects covering global regulatory share disclosure reporting processes • Review Regulatory Developments and core processes • Provide leadership, co-ordination and general oversight and change management services • Provide post implementation analysis and support enhancing compliance arrangements and governance • Escalation of key risks to the Group Compliance Teams The knowledge, experience and qualifications you need • Experience in application of regulations and in matters of a legal and regulatory nature • Experience of working in the investment management sector • Experience in managing relationships with regulators • Good working knowledge of Word and Excel What you'll be like • Effective leadership, project management, teamwork and interpersonal skills • Ability to work well under pressure • Ability to work to tight deadlines • Strong analytical skills and ability to make sound judgments • Accuracy and attention to detail are critical • Strong written and verbal communication skills • The ability to deliver high quality results with a proactive and positive approach • Numerical We're looking for the best, whoever they are Schroders is an equal opportunities employer. You're welcome here whatever your sex, marital status, ethnic origin, sexual orientation, religious belief or age.

First-time hire for a Head of Risk at a market-leading oil and energy derivatives specialist. This individual will report to the CEO and be expected to build a coherent risk management strategy, furthering the reporting capabilities currently in place under the Head of Operations. Responsibilities: Full oversight of firm's trading risk program, including formalisation of a firm-wide risk committee, involving senior traders and department heads. Manage traders' positions and risk limits, by developing VaR / Risk Monitoring procedures. Ensure adequate process for 'Haircut' distribution - managing risk tolerance, limits and allocation internally. Candidates must be able to demonstrate thorough market and quantitative risk modelling experience and an understanding of financial markets products (preferably commodities). Masters or PHD preferred, but not essential. Please reach out to Lawrence Watson to register your interest in this vacancy. E:

It has developed a risk-based approach designed to ensure that every reasonable measure (including policies, procedures, instructions, IT systems, monitoring methods, awareness and training activities, objective-setting, incentives, deterrent measures and sanctions) is taken in order to avoid or reduce the possibility of such compliance risks occurring and to minimise the damage if such a risk should nonetheless occur Supporting the Country Compliance Head/MLRO and the Director, Financial Crime, the FCO will support the advisory, monitoring, policy, training and regulatory change processes in connection with financial crime. The FCO will be dedicated to doing this in a way that: upholds the firm's legal, regulatory, ethical standards and reputation; fosters partnerships, collaboration and the compliance culture throughout the firm; heightens awareness of relevant AML, sanctions and financial crime regulatory issues; and delivers consistent guidance, advice and innovative solutions; and provides regulatory advice, in all matters relating to AML and Financial Crime to the key business lines in the UK. Objective of the Function To provide the Director, Financial Crime with support in delivering Business As Usual financial crime tasks, to support the bank's objective in managing to its financial crime risk, including AML, sanctions, anti-bribery, corruption and fraud, within the context of the financial crime framework of the firm. This role will also necessitate significant close liaison with Head Office Compliance, to ensure that global policies are understood and reflect UK requirements. Results and Core Activities Advisory To assist the Director, Financial Crime with a proactive, expert and effective regulatory compliance advisory service. Training & Collaboration Work effectively at all levels across ABN AMRO to provide support and assistance, including tailoring various means of financial crime training for different audiences. Policies and Procedures Maintain adequate policies and procedures sufficient to achieve compliance with ABN AMRO's obligations under relevant regulations and for countering the risk that the business line might be used to further financial crime, supporting the Director of Financial Crime on implementing policy changes within the business units of the UK. Monitoring and Reporting Where there are dependencies on Head Office, support the Director of Financial Crime and businesses in ensuring that management information is received on a timely basis, in accordance with agreed requirements, in order that adequate UK oversight can be maintained. Perform routine AML monitoring tasks in order to ensure that policies and procedures are being followed, and that issues identified are being escalated appropriately. Provide input and establish where required periodic and other relevant reports/management information, including input into the annual Compliance Plan and Financial Crime Risk Assessment, to be presented to the ExCo on an annual basis. Risk Identification and Assessment Support both the Director, Financial Crime and the Director, Policy & Regulatory Developments, so that, on a systematic basis, it can be evidenced that the bank is keeping abreast of current EU, FCA, DNB, ECB and JMLSG Financial Crime regulations, requirements and expectations.. Knowledge and Experience Required level and content of education · A strong academic record. · A related financial crime qualifications, such as the CISI Diploma in Financial Crime, or equivalent. Any specific professional qualifications in relation to AML / financial crime would be useful. Required employment experience · Ability to communicate clearly and concisely on complex regulatory compliance issues at all levels, both internally and externally. · Ability to produce written documents articulating key aspects of regulatory change, along with full impact analysis on relevant business areas. · Ability to resolve conflict and deal with confrontation through tact and skill. · Ability to work independently, but a strong team player. · Assertive, analytical, accurate and tenacious. · Display initiative in identifying and presenting solutions to support activities and plans. · Proven ability to work to deadlines and prioritise deliverables. · Forward looking in terms of how BAU activities can be made more efficient. · Practical and pro-active approach. · Self-motivated and well organised. · A deep understanding of relevant existing, and emerging regulatory requirements. · A strong and demonstrated ability to assess, mange and enhance management information. · Excellent command of the English language both written and orally · High level of IT literacy. · Attention to detail.