Major International investment firm seeks Compliance Monitoring Officer to work in London / West End As a member of the Compliance department, the individual will be in charge of the monitoring and surveillance of business activities with a strong focus on the London Facilitation activity.
Thus, the role includes:
* Personal account dealing approvals, monitoring and reporting
* …
View full post on exec-appointments.com: Trading Jobs
More
A leading CFD advisory broker is looking for an experienced Compliance Officer.
A great chance to escape the City, enjoy the Cornish lifestyle and still earn City wages. This is an exciting opportunity with varied responsibilities, offering close interaction with the business and exposure to senior management.
The main responsibilities for the role of Compliance Officer will …
View full post on exec-appointments.com: Trading Jobs
More
One of the largest commodities and trading companies in the region is seeking an experienced Compliance Manager to ensure all policies and procedures are in line with local and international regulations. General responsibilities include:
* Training on compliance aspects to staff and brokers,
* Update all policies and procedures in line with regulators,
* Prepare regulatory …
View full post on exec-appointments.com: Trading Jobs
More
Experienced Compliance professional wanted for an immediate start, providing Compliance support to our clients Sales & Marketing, Distribution and Alternative Investment areas in Europe, with primary emphasis on their London team. Job Description
* Review of Marketing Materials, including sales literature, RFPs, etc. to ensure that they are fair, balanced and not misleading, as well …
View full post on exec-appointments.com: Trading Jobs
More
One of the worlds’ leading insurers with a broad range of business lines and services has set up a new operation in Qatar and is looking for a confident, business minded and proactive compliance professional to set up and run their large multi line business from a compliance perspective. The individual sought will be one of the most senior individuals in the office, with a dotted line to the …
View full post on exec-appointments.com: Trading Jobs
More
1-2 month role to assist new product launch *Major player in the global commodities markets
*New business/product line launch
*Regulated under MIFID and FSA Candidates must have compliance/regulatory experience including the commodities sector
Experience could be in any commodity and gained from a trading house, bank or corporate
View full post on exec-appointments.com: Trading Jobs
More
