3 jobs found in kingston upon thames, london

Compliance Manager, Equities Advisory ComplianceDepartment: Capital Markets, London CompliancePURPOSE:To protect the brand and enable achievement of business goals through an integrated compliance culture and program across the enterprise by:* aligning regulatory priorities with the Business;* creating and maintaining an effective relationship with regulators to enable reputation and regulatory issues to be appropriately managed;* establishing and maintaining a strong, effective control environment; and* identifying and communicating compliance risks inherent in the business to senior management and the business.PRIMARY RESPONSIBILITIES:Compliance Manager within Capital Markets Compliance London with responsibility for advising on regulatory matters affecting the following London businesses: Global Equities including Global Equity DerivativesResponsibilities include:* advising senior business management on policies and regulatory matters;* Compliance contact for transactional and regulatory queries;* undertaking regulatory/legislative research in respect of matters impacting the business;* assisting the Compliance department with implementing key regulatory initiatives;* accountable for maintaining the Regulatory Compliance Management documentation for the Global Equities business lines;* advising on existing and future UK and EU legislation/ regulatory and industry rules likely to affect the London businesses;* drafting appropriate Compliance communications;* providing pro-active and timely advice on regulatory and firm policy requirements;* conducting product research driven by new product/business initiatives;* reviewing and drafting appropriate regulatory assessments for the New Business Committee proposals within coverage;* undertaking ad hoc Compliance monitoring reviews;* devising Compliance policies, procedures and processes to enable business units to comply with current regulatory and firm policy requirements;* proactive identification of issues impacting coverage areas through participation in business, industry and regulatory initiatives;* devising and delivering appropriate training and other forms of communication and monitoring adherence to such training and communications;* resolve Compliance/regulatory issues identified from surveillance and other oversight functions, e.g. Internal Audit;* collating and producing the quarterly Board and Committee Reports in a timely manner;* advising and assisting Compliance colleagues in Canada, U.S.A, Australia and Asia on the UK regulatory position of matters relating to global initiatives/projects;* working with Group Law functions in London and advise on regulatory matters affecting businesses comprising primary areas of responsibility; and* assisting Compliance Monitoring with devising appropriate regulatory desk monitoring programmes.RESULTS EXPECTED & EVALUATED* Timely and technically accurate advice.* Completion of compliance guidance, policies and procedures (where the need for such communication has been identified).* Creation and delivery of appropriate training modules to front office staff (where the need for such training has been identified).* Completed desk monitoring reviews as required.KEY RELATIONSHIPS* Head of Capital Markets Compliance Europe* Senior Officers and Business Heads UK* Compliance colleaguesJOB SPECIFICATIONS:* Excellent written and verbal communication skills;* Knowledge of primary and secondary UK financial services legislation;* Knowledge of FCA Handbook, specifically Conduct of Business Rulebooks;* Good knowledge of products traded in Global Markets;* Ability to draft clear and technically accurate regulatory guidance, policies and procedures;* Ability to assist in devising appropriate compliance desk monitoring programmes;* Ability to articulate regulatory issues to key relationship contacts;* Ability to assist with ad hoc internal regulatory investigations; and* Ability to maintain the confidentiality of sensitive information.Randstad Financial & Professional encourage applications from individuals of all ages & backgrounds. Appointment will be made on merit alone but candidates must be able to demonstrate their ability to work in the UK. Randstad Financial & Professional acts as an employment agency for permanent recruitment & an employment business for temporary recruitment as defined by the Conduct of Employment Agencies & Employment Business Regulations 2003

FICC Compliance Manager, Fixed Income Compliance AdvisoryDepartment: Capital Markets, Compliance LondonPurpose:To protect the brand and enable achievement of business goals through an integrated compliance culture and program across the enterprise by:* Aligning regulatory priorities with the Business;* Creating and maintaining an effective relationship with regulators to enable reputation and regulatory issues to be appropriately managed;* Establishing and maintaining a strong, effective control environment; and* Identifying and communicating compliance risks inherent in the business to senior management and the business.PRIMARY RESPONSIBILITIES:Compliance Manager within Capital Markets Compliance London with responsibility for advising on regulatory matters affecting the following London businesses: FICC (Fixed income / currencies and commodities).Responsibilities Include:* maintaining a detailed knowledge of applicable banking regulations, best practices and relevant internal policies and procedures;* designing and maintaining policies and procedures to address identified regulatory risks;* devising and delivering Compliance training to businesses which comprise primary areas of responsibility;* collaborating with colleagues in the Trade Surveillance and Desk Monitoring team to identify ways to enhance our programs and incorporate any relevant issues arising from the interaction with the businesses;* advise on the application of current and future legislation for the conduct of business for the European operations;* review, advise and draft appropriate text from a compliance perspective for New Business Committee proposals emanating from businesses which comprise primary areas of responsibility;* assisting with desk monitoring activities to determine adherence with FCA conduct of business rules;* advise and assist Compliance colleagues in Canada, U.S.A, Australia and Asia on the UK regulatory position of matters relating to the transitioning of businesses which comprise primary areas of responsibility;* issue guidance as and when required to the front office regarding current or new regulatory requirements issued by the FCA and other relevant bodies;* to liaise where necessary with the relevant regulatory bodies;* conducting and reporting on compliance investigations of businesses captured by primary areas of responsibility as required;* to be an integral part of the compliance team, assisting other team members and undertaking ad-hoc assignments as required;* assisting with preparing the papers for the Reputation and Compliance Committee and other management fora; and* promoting observance of high standards of business conduct and ethical standards. AUTHORITIES, IMPACT, RISK:* Complete freedom of access to records relating to the business of Group companies including investment business activity and members of staff involved in all such activities..* Being appropriately advised of business developments. *RESULTS EXPECTED & EVALUATED* Timely and technically accurate research and advice;* Clear and concise written and verbal communication;* Completed drafts of compliance communication, policy and procedures; and* Creation and delivery of appropriate training modules for front office staff (where the need for such training has been identified).KEY RELATIONSHIPS* Co-Head of Compliance, Europe* Senior Officers and business Heads in the UK* Compliance Officers throughout the organisationJOB SPECIFICATIONS:* Excellent written and verbal communication skills;* Knowledge of primary and secondary UK financial services legislation;* Knowledge of FCA Handbook, specifically Conduct of Business Rulebooks;* Good knowledge of products traded in Global Markets;* Ability to draft clear and technically accurate regulatory guidance, policies and procedures;* Ability to assist in devising appropriate compliance desk monitoring programmes;* Ability to articulate regulatory issues to key relationship contacts;* Ability to assist with ad hoc internal regulatory investigations; and* Ability to maintain the confidentiality of sensitive information.Randstad Financial & Professional encourage applications from individuals of all ages & backgrounds. Appointment will be made on merit alone but candidates must be able to demonstrate their ability to work in the UK. Randstad Financial & Professional acts as an employment agency for permanent recruitment & an employment business for temporary recruitment as defined by the Conduct of Employment Agencies & Employment Business Regulations 2003

Are you an experienced RFP Specialist? A 12 month contract opportunity has arisen at our client - a large asset manager based in the city. Roles Duties: You will be expected to liaise closely with colleagues across various business lines and other internal stakeholders to deliver high quality, consistent and cohesive quantitative and qualitative information to new and existing clients investing in a variety ofproducts. You will play an important role in this critical component of onboarding and maintaining both new and existing, business.You will be expected to complete requests in a professional, accurate and timely manner and according to the given team processes and controls.You will be expected to own; any such requests and drive them through to completion, ensuring a variety of requests are handled with due care and attention and responded to appropriately, within agreed time frames and always with consideration of the client's needs and expectations.You will partner with the sales team and other business stakeholders to develop solutions for our clients, exploring our service capabilities and continually looking for ways to innovate and provide clients with improved and better service outcomes.You will liaise closely with the RFP Support functions offshore, working with them in completion of any requests, providing feedback on the work produced by the team and ensuring any training needs are flagged and met.Help with the production of regular reporting statistics for the team and participate in the continuous improvement of our control environment, policies and procedures, looking for ways to innovate and drive our business forward.Key skills needed for the role:Asset Management experienceRFP experience preferred by not essentialGood verbal and written communication and interpersonal skillsStrong system skills - word/excelDetail-orientated self-starter and team playerAbility to maintain a high standard of accuracy while working in a high-pressure and fast-paced environment.Ability to manage multiple tasks, prioritise and meet deadlines.Strong organisational and analytical skills.This is an opportunity that cannot be missed! If you have experience within RFP then please apply now!Randstad Financial & Professional encourage applications from individuals of all ages & backgrounds. Appointment will be made on merit alone but candidates must be able to demonstrate their ability to work in the UK. Randstad Financial & Professional acts as an employment agency for permanent recruitment & an employment business for temporary recruitment as defined by the Conduct of Employment Agencies & Employment Business Regulations 2003