VP Compliance Advisory
4 weeks ago
An Investment Bank is looking to appoint a VP into their surveillance and advisory function. This would be suitable for a VP or a strong AVP looking to make the step up.
Responsibilities:
- Conduct oversight of trade surveillance alerts via the Firm’s surveillance systems, based on escalations from the core surveillance team.
- Assisting in the timely resolution and escalation of exchange, regulatory or internal investigations and enquiries
- Delivering certain face-to-face Compliance training as required in line with regulatory requirements and annual training objectives
- Undertake and lead ad-hoc internal investigations in relation to suspected instances of Market Abuse and/or Financial Crime
Requirements:
- Bachelor’s degree in business, finance, economics, or any relevant field of discipline
- At least 5 years of prior experience in compliance or Surveillance role with focus in the detection and review of potential risks, especially market abuse and manipulation
- Knowledge in reviewing market abuse scenarios (e.g. frontrunning, layering, spoofing, ramping) and the use of market surveillance systems like Nasdaq SMARTS, Scila, etc.
- A strong understanding of traded products such as Fixed Income, Forex, Futures, Options, and Commodities would be advantageous.
-
Compliance Advisory VP
2 months ago
London, United Kingdom Investigo Full timeCompliance Advisory VP - Private Side Hybrid, London, United Kingdom We are seeking an experienced Compliance Advisory VP to join a leading Investment Bank as part of their Private Side Compliance team. In this role, you will provide expert guidance and support to the private side businesses, ensuring compliance with relevant regulations and internal...
-
Compliance Advisory VP
4 weeks ago
London, United Kingdom Investigo Limited Full timeCompliance Advisory VP - Private Side Hybrid, London, United Kingdom We are seeking an experienced Compliance Advisory VP to join a leading Investment Bank as part of their Private Side Compliance team. In this role, you will provide expert guidance and support to the private side businesses, ensuring compliance with relevant regulations and internal...
-
Compliance Advisory VP
3 weeks ago
London, United Kingdom Investigo Full timeCompliance Advisory VP - Private Side Hybrid, London, United Kingdom We are seeking an experienced Compliance Advisory VP to join a leading Investment Bank as part of their Private Side Compliance team. In this role, you will provide expert guidance and support to the private side businesses, ensuring compliance with relevant regulations and internal...
-
Compliance Advisory Officer
2 days ago
London, United Kingdom Compliance Professionals Full time**THE COMPANY**: Our client is a global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice. **THE RESPONSIBILITIES**: - Responsible for providing Compliance Advisory support to the Business -...
-
VP Compliance Advisory
4 weeks ago
London, United Kingdom Black Swan Group Full timeJob Description An Investment Bank is looking to appoint a VP into their surveillance and advisory function. This would be suitable for a VP or a strong AVP looking to make the step up. Responsibilities: Conduct oversight of trade surveillance alerts via the Firm’s surveillance systems, based on escalations from the core surveillance team. Assisting...
-
VP Compliance Advisory
4 weeks ago
London, United Kingdom Black Swan Group Full timeAn Investment Bank is looking to appoint a VP into their surveillance and advisory function. This would be suitable for a VP or a strong AVP looking to make the step up. Responsibilities: Conduct oversight of trade surveillance alerts via the Firm’s surveillance systems, based on escalations from the core surveillance team.Assisting in the timely...
-
VP Compliance Advisory
4 weeks ago
London, United Kingdom Black Swan Group Full timeAn Investment Bank is looking to appoint a VP into their surveillance and advisory function. This would be suitable for a VP or a strong AVP looking to make the step up. Responsibilities: Conduct oversight of trade surveillance alerts via the Firm’s surveillance systems, based on escalations from the core surveillance team.Assisting in the timely...
-
Compliance Advisory
2 months ago
London, United Kingdom Cameron Kennedy Full timeCONTRACT TYPE: - Permanent- LOCATION: - City of London- INDUSTRY: - Compliance & Legal- Financial Services- SALARY: - Negotiable- START DATE: - ASAP- REF: - BN373239_1679904671- JOB PUBLISHED: - 1 day ago**Compliance Advisory** **£90000 - £100000 + Bonus + Benefits** **London** **THE COMPANY** Growing London banking group, part of one of the world's...
-
VP Compliance Advisory
3 weeks ago
London, United Kingdom Black Swan Group Full timeAn Investment Bank is looking to appoint a VP into their surveillance and advisory function. This would be suitable for a VP or a strong AVP looking to make the step up. Do you have the right skills and experience for this role Read on to find out, and make your application.Responsibilities: Conduct oversight of trade surveillance alerts via the Firm’s...
-
VP Compliance Advisory
4 weeks ago
London Area, United Kingdom Black Swan Group Full timeAn Investment Bank is looking to appoint a VP into their surveillance and advisory function. This would be suitable for a VP or a strong AVP looking to make the step up. Responsibilities: Conduct oversight of trade surveillance alerts via the Firm’s surveillance systems, based on escalations from the core surveillance team. Assisting in the timely...
-
VP Compliance Advisory
4 weeks ago
London Area, United Kingdom Black Swan Group Full timeAn Investment Bank is looking to appoint a VP into their surveillance and advisory function. This would be suitable for a VP or a strong AVP looking to make the step up. Responsibilities: Conduct oversight of trade surveillance alerts via the Firm’s surveillance systems, based on escalations from the core surveillance team.Assisting in the timely...
-
VP Compliance Advisory
4 weeks ago
London Area, United Kingdom Black Swan Group Full timeAn Investment Bank is looking to appoint a VP into their surveillance and advisory function. This would be suitable for a VP or a strong AVP looking to make the step up. Responsibilities: Conduct oversight of trade surveillance alerts via the Firm’s surveillance systems, based on escalations from the core surveillance team.Assisting in the timely...
-
Compliance Advisory VP
14 hours ago
London, United Kingdom Jobs via eFinancialCareers Full timeSenior Consultant - Compliance - Banking and Financial Services at Investigo Hybrid, London, United Kingdom We are seeking an experienced Compliance Advisory VP to join a leading Investment Bank as part of their Private Side Compliance team. In this role, you will provide expert guidance and support to the private side businesses, ensuring compliance with...
-
Compliance Advisory VP
2 days ago
London, United Kingdom Jobs via eFinancialCareers Full timeSenior Consultant - Compliance - Banking and Financial Services at Investigo Hybrid, London, United Kingdom We are seeking an experienced Compliance Advisory VP to join a leading Investment Bank as part of their Private Side Compliance team. In this role, you will provide expert guidance and support to the private side businesses, ensuring compliance with...
-
Compliance Advisory VP
23 hours ago
London, United Kingdom Jobs via eFinancialCareers Full timeSenior Consultant - Compliance - Banking and Financial Services at Investigo Hybrid, London, United Kingdom We are seeking an experienced Compliance Advisory VP to join a leading Investment Bank as part of their Private Side Compliance team. In this role, you will provide expert guidance and support to the private side businesses, ensuring compliance with...
-
Compliance Advisory Officer
2 months ago
London, United Kingdom Compliance Professionals Full timeTHE COMPANY: Our client is a global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice. THE RESPONSIBILITIES: To build a close working relationship with each of the business units to support...
-
Compliance Advisory Officer
2 weeks ago
London, United Kingdom Compliance Professionals Full timeTHE COMPANY: Our client is a global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice. THE RESPONSIBILITIES: To build a close working relationship with each of the business units to support...
-
Compliance Advisory Officer
1 week ago
London, United Kingdom Compliance Professionals Full timeTHE COMPANY: Our client is a global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice. THE RESPONSIBILITIES: To build a close working relationship with each of the business units to support...
-
Compliance Advisory Officer
1 week ago
London, United Kingdom Compliance Professionals Full timeTHE COMPANY: Our client is a global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice. THE RESPONSIBILITIES: To build a close working relationship with each of the business units to support...
-
Compliance Advisory Officer
1 week ago
London, United Kingdom Compliance Professionals Full timeTHE COMPANY: Our client is a global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice. THE RESPONSIBILITIES: To build a close working relationship with each of the business units to support...