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      • city of london, london
      • contract
      • competitive
      • randstad financial services
      Role Responsibilities:● Review and approval of marketing materials prepared for distribution toclients/prospects; and assessment of cross-border rules/situations● Monitoring of record keeping requirements / audit trails / file note review● Trade reviews / approvals including complex products to assess suitability and otherrequirements per policy and regulatory framework● Forensic reviews on various risk themes including E-surveillance and voice recordingreview● Review of non-traditional account opening request● Working in collaboration with the PWM EMEA Compliance team to deliver day to dayadvisory for ad-hoc questions raised by business● Develop and deliver training for business personnel● Identification, review and implementation of new regulationsBasic Qualifications:● Strong investigative, analytical and problem solving skills with the ability to exercisesound and balanced judgment● Good interpersonal skills and effective written/oral communication skills (fluent English;other European language skills of substantial benefit)● Excellent attention to detail● Proficient in MS office tools including strong knowledge of MS-Excel● Ability to handle multiple tasks and work under pressure● Ability to work both independently and as part of a teamRandstad 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
      Role Responsibilities:● Review and approval of marketing materials prepared for distribution toclients/prospects; and assessment of cross-border rules/situations● Monitoring of record keeping requirements / audit trails / file note review● Trade reviews / approvals including complex products to assess suitability and otherrequirements per policy and regulatory framework● Forensic reviews on various risk themes including E-surveillance and voice recordingreview● Review of non-traditional account opening request● Working in collaboration with the PWM EMEA Compliance team to deliver day to dayadvisory for ad-hoc questions raised by business● Develop and deliver training for business personnel● Identification, review and implementation of new regulationsBasic Qualifications:● Strong investigative, analytical and problem solving skills with the ability to exercisesound and balanced judgment● Good interpersonal skills and effective written/oral communication skills (fluent English;other European language skills of substantial benefit)● Excellent attention to detail● Proficient in MS office tools including strong knowledge of MS-Excel● Ability to handle multiple tasks and work under pressure● Ability to work both independently and as part of a teamRandstad 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
      • glasgow, scotland
      • temporary
      • £30.00 per hour
      • randstad financial services
      Overall purpose of roleThe role will focus on the Surveillance program for EME and APAC Markets in accordance with relevantregulatory and legal requirements, firm policies and industry best practices. The individual will work closelywith the respective teams in EME, APAC and Americas that cover Surveillance activities.  Conduct Trade and Control Room surveillance for trading activity across the markets business areas toidentify potential instances of market abuse through the analysis of alerts generated by the surveillanceplatform. Work with members of the Market Surveillance team to document and escalate potential market abuse to theBusiness Oversight Compliance teams and if required submit Suspicious Transaction and Order Reports(STOR/STR) to the appropriate regulator. Identify opportunities to enhance the surveillance platform and partner with the Market SurveillanceOptimisation and Calibration team to implement changes. Assist with developing Management Information that provides insight to the efficiency and effectiveness ofthe market surveillance operation including drafting commentary for reporting to key stakeholders. Stakeholder Management and Leadership Provide subject matter expertise to the Compliance function on the performance of the Surveillancecontrol including details on the efficiency and effectiveness of the surveillance platform. Communicate market abuse risk identified through the surveillance platform with Business OversightCompliance and agree clear path to resolution. Engage with the Global Surveillance team to share knowledge and practices and promote a consistentapproach across the surveillance teams. Champion the Compliance function and within it, the Global Surveillance teams. Essential Skills/Basic Qualifications: Good communication skills, ability to interact and work with key stakeholders Ability to quickly understand and interchange with a variety of other product and technical areas Strong understanding of core EME Markets and respective regulations Strong Surveillance or Compliance experience in a financial services environment or Regulator Ability to multi-task and manage projects while completing daily tasks and responsibilities Familiarity with diverse product typesRandstad 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
      Overall purpose of roleThe role will focus on the Surveillance program for EME and APAC Markets in accordance with relevantregulatory and legal requirements, firm policies and industry best practices. The individual will work closelywith the respective teams in EME, APAC and Americas that cover Surveillance activities.  Conduct Trade and Control Room surveillance for trading activity across the markets business areas toidentify potential instances of market abuse through the analysis of alerts generated by the surveillanceplatform. Work with members of the Market Surveillance team to document and escalate potential market abuse to theBusiness Oversight Compliance teams and if required submit Suspicious Transaction and Order Reports(STOR/STR) to the appropriate regulator. Identify opportunities to enhance the surveillance platform and partner with the Market SurveillanceOptimisation and Calibration team to implement changes. Assist with developing Management Information that provides insight to the efficiency and effectiveness ofthe market surveillance operation including drafting commentary for reporting to key stakeholders. Stakeholder Management and Leadership Provide subject matter expertise to the Compliance function on the performance of the Surveillancecontrol including details on the efficiency and effectiveness of the surveillance platform. Communicate market abuse risk identified through the surveillance platform with Business OversightCompliance and agree clear path to resolution. Engage with the Global Surveillance team to share knowledge and practices and promote a consistentapproach across the surveillance teams. Champion the Compliance function and within it, the Global Surveillance teams. Essential Skills/Basic Qualifications: Good communication skills, ability to interact and work with key stakeholders Ability to quickly understand and interchange with a variety of other product and technical areas Strong understanding of core EME Markets and respective regulations Strong Surveillance or Compliance experience in a financial services environment or Regulator Ability to multi-task and manage projects while completing daily tasks and responsibilities Familiarity with diverse product typesRandstad 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

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