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      • city of london, london
      • permanent
      • £50,000 - £65,000 per year
      • randstad financial services
      This position requires an experienced investment compliance professional, in an individual contributor role, to carry out both daily operational and client facing deliverables as well as internal projects relating to migration and onboarding of funds/clients, and ongoing platform level improvements and build out of the department & services and capabilities. Role Responsibilities: Monitor and review daily compliance testing results and pre and post trade report output and related deliverables to clients, across assigned fundsPerform ad hoc hypothetical/pre-trade testing for assigned funds upon client request.Participate and actively facilitate internal projects assigned by supervisor and senior management related to the continued build out of the Compliance team's services/capabilities.Create, document and communicate business and functional requirement documents (BRDs, FRDs) specific to investment guideline mechanics to in-house technology teams.Participate in performing quality control and regression testing prior to compliance system functionality upgrades and enhancements. Position Qualifications:Bachelor's degree in finance, accounting or a related fieldA minimum of 2 years of experience in the finance sector with experience in investment guideline monitoring (ie 1940Act, ERISA, etc) across different asset classes. Any experience in CLO compliance tests are a plus.Experience with using and coding rules in compliance systems (ie Charles River, Allvue, Eze, CDO Suite, etc) is a preferredRandstad 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
      This position requires an experienced investment compliance professional, in an individual contributor role, to carry out both daily operational and client facing deliverables as well as internal projects relating to migration and onboarding of funds/clients, and ongoing platform level improvements and build out of the department & services and capabilities. Role Responsibilities: Monitor and review daily compliance testing results and pre and post trade report output and related deliverables to clients, across assigned fundsPerform ad hoc hypothetical/pre-trade testing for assigned funds upon client request.Participate and actively facilitate internal projects assigned by supervisor and senior management related to the continued build out of the Compliance team's services/capabilities.Create, document and communicate business and functional requirement documents (BRDs, FRDs) specific to investment guideline mechanics to in-house technology teams.Participate in performing quality control and regression testing prior to compliance system functionality upgrades and enhancements. Position Qualifications:Bachelor's degree in finance, accounting or a related fieldA minimum of 2 years of experience in the finance sector with experience in investment guideline monitoring (ie 1940Act, ERISA, etc) across different asset classes. Any experience in CLO compliance tests are a plus.Experience with using and coding rules in compliance systems (ie Charles River, Allvue, Eze, CDO Suite, etc) is a preferredRandstad 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
      • city of london, london
      • permanent
      • £60,000 - £70,000 per year
      • randstad financial services
      Knowledge / Experience:Essential requirements: Good working knowledge of the applicable requirements of the UK and EU financial services regime, including the FCA Handbook and key regulations e.g. MiFID II and SMCR etc. Some experience in a compliance or operational risk role within Financial Services. A bachelor's degree or a period of work experience demonstrating equivalent ability. Excellent communication skills, both verbal and written. Previous experience analysing regulations and assessing their impact on the business. Demonstrable evidence of motivating and engaging a team and ensuring alignment to business goals and high delivery of team performance. Able to build relationships and communicate effectively and efficiently to internal and external stakeholders. Able to work well with diverse groups and personalities. Experience of Wholesale Financial Markets.Preferred requirements: Experience of inter-dealer broking. Strong knowledge of specific execution methodologies e.g. Name Give Up, Matched Principal, Exchange Give Up. Experience with OTF and MTF trading venues compliance and or operation. Understanding of risk-based approaches and assessments as well as control design and implementation in Risk and Compliance.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
      Knowledge / Experience:Essential requirements: Good working knowledge of the applicable requirements of the UK and EU financial services regime, including the FCA Handbook and key regulations e.g. MiFID II and SMCR etc. Some experience in a compliance or operational risk role within Financial Services. A bachelor's degree or a period of work experience demonstrating equivalent ability. Excellent communication skills, both verbal and written. Previous experience analysing regulations and assessing their impact on the business. Demonstrable evidence of motivating and engaging a team and ensuring alignment to business goals and high delivery of team performance. Able to build relationships and communicate effectively and efficiently to internal and external stakeholders. Able to work well with diverse groups and personalities. Experience of Wholesale Financial Markets.Preferred requirements: Experience of inter-dealer broking. Strong knowledge of specific execution methodologies e.g. Name Give Up, Matched Principal, Exchange Give Up. Experience with OTF and MTF trading venues compliance and or operation. Understanding of risk-based approaches and assessments as well as control design and implementation in Risk and Compliance.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
      • city of london, london
      • contract
      • £300 per day
      • randstad financial services
      Job Description: * Dealing with matters pertaining to exchange registrations and the maintenance of employee data from a MiFiD II order record keeping perspective.* Maintaining exchange access for joiners, transfers and leavers with both trading venues & CCP's for sales and trading as well as operational staff. Maintaining short codes and personal identifiable information with exchange venues, MTF's, OTF's & voice brokers* Acting as the SME on exchange connectivity from a registrations perspective acting in an advisory capacity for the business and other key stakeholders* Assisting in the performance of routine exchange examinations and the completion of due diligence questionnaires from exchanges and CCP's* Assisting with business transformation projects driven by regulatory change i.e. building new workflows, enhancing internal systems, developing and maintaining procedures and processes* Conducting compliance monitoring and testing activities as well as performing QA/QC routines internally. Producing metrics and KPI's to be used in management information* Performing the registration / certification process for in scope employees as per the requirements of the UK, French & Irish regulatory regimes* An understanding of how to register / de-register individuals on exchanges used in the FICC and Equities space. A general understanding of the products covered by each desk and how connectivity works from a technology perspectiveRandstad 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
      Job Description: * Dealing with matters pertaining to exchange registrations and the maintenance of employee data from a MiFiD II order record keeping perspective.* Maintaining exchange access for joiners, transfers and leavers with both trading venues & CCP's for sales and trading as well as operational staff. Maintaining short codes and personal identifiable information with exchange venues, MTF's, OTF's & voice brokers* Acting as the SME on exchange connectivity from a registrations perspective acting in an advisory capacity for the business and other key stakeholders* Assisting in the performance of routine exchange examinations and the completion of due diligence questionnaires from exchanges and CCP's* Assisting with business transformation projects driven by regulatory change i.e. building new workflows, enhancing internal systems, developing and maintaining procedures and processes* Conducting compliance monitoring and testing activities as well as performing QA/QC routines internally. Producing metrics and KPI's to be used in management information* Performing the registration / certification process for in scope employees as per the requirements of the UK, French & Irish regulatory regimes* An understanding of how to register / de-register individuals on exchanges used in the FICC and Equities space. A general understanding of the products covered by each desk and how connectivity works from a technology perspectiveRandstad 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
      • city of london, london
      • permanent
      • £70,000 - £80,000 per year
      • randstad financial services
      Job duties: Day to day regulatory advice and guidance to the Energy & Commodities business on rules and internal policies, including supporting the business with new products and services Managing the day to day relationships with the relevant exchanges, managing queries and requests Conducting desk reviews and thematic reviews of key compliance risks Providing training to the business on relevant regulatory rules and requirements Knowledge & Understanding* Experience of energy and commodity markets compliance essential* Solid understanding of relevant regulatory requirements applicable to energy and commodities markets, including UK, EU and US regulatory frameworks.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
      Job duties: Day to day regulatory advice and guidance to the Energy & Commodities business on rules and internal policies, including supporting the business with new products and services Managing the day to day relationships with the relevant exchanges, managing queries and requests Conducting desk reviews and thematic reviews of key compliance risks Providing training to the business on relevant regulatory rules and requirements Knowledge & Understanding* Experience of energy and commodity markets compliance essential* Solid understanding of relevant regulatory requirements applicable to energy and commodities markets, including UK, EU and US regulatory frameworks.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
      • city of london, london
      • permanent
      • £60,000 - £65,000 per year
      • randstad financial services
      Your impact as a Manager:Ownership of the product governance process and ensuring our control environment continues to meet regulatory requirements;Supporting business areas to ensure that product governance is embedded within business practices through product management, sales and operations processes, systems and controls;Supporting the Product Leader and chair of the Product Committee to deliver effective decision making through the board sub-committee;Supporting the Product Leader, contributing to the product and distribution strategies and working with business areas to execute any necessary changes;Liaising with insurer partners to ensure that they are fulfilling their obligations and performing as required. Escalate performance issues to the Product Leader;Managing a team of Product Analysts and Product Specialists to support the development of new products and solutions;Maintaining ongoing oversight of products and conduct periodic product reviews;Delivering product performance / value metrics, risks, KPIs and reporting, ensuring an appropriate control framework is in place to manage product risk;Interfacing with product teams, market security and other key stakeholder groups.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
      Your impact as a Manager:Ownership of the product governance process and ensuring our control environment continues to meet regulatory requirements;Supporting business areas to ensure that product governance is embedded within business practices through product management, sales and operations processes, systems and controls;Supporting the Product Leader and chair of the Product Committee to deliver effective decision making through the board sub-committee;Supporting the Product Leader, contributing to the product and distribution strategies and working with business areas to execute any necessary changes;Liaising with insurer partners to ensure that they are fulfilling their obligations and performing as required. Escalate performance issues to the Product Leader;Managing a team of Product Analysts and Product Specialists to support the development of new products and solutions;Maintaining ongoing oversight of products and conduct periodic product reviews;Delivering product performance / value metrics, risks, KPIs and reporting, ensuring an appropriate control framework is in place to manage product risk;Interfacing with product teams, market security and other key stakeholder groups.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
      • city of london, london
      • contract
      • £500 - £600 per day
      • randstad financial services
      Specification: * The Regulatory Relations Manager is responsible for maintaining relationships and interactions with regulators through the execution of the overall strategy for regulatory engagement and enterprise-wide standards. This includes managing regulatory examinations, inquiries and meetings.* Managing and supporting the wider team on all aspects of regulatory exams in accordance with enterprise-wide standards to ensure consistent exam practices, successful execution, and reduction of risk exposure for the company.* Effectively managing ongoing supervision meetings (including prep sessions and debriefs) and preparing and uploading record of meeting notes relating to such meetings;* Responding to regulatory inquiries; aiding with preparation of regulatory responses; as well as regulatory activity tracking, internal reporting and escalation.* Building strong partnerships and collaborating effectively with FLU/CF stakeholders.* Communicates and escalates issues and emerging risks in a timely and concise manner.* Partnering with GRR colleagues to share best practices, identify regulatory themes and emerging issues.* Providing regulator agency relationship support, as needed (logistics, technology, reporting and research).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
      Specification: * The Regulatory Relations Manager is responsible for maintaining relationships and interactions with regulators through the execution of the overall strategy for regulatory engagement and enterprise-wide standards. This includes managing regulatory examinations, inquiries and meetings.* Managing and supporting the wider team on all aspects of regulatory exams in accordance with enterprise-wide standards to ensure consistent exam practices, successful execution, and reduction of risk exposure for the company.* Effectively managing ongoing supervision meetings (including prep sessions and debriefs) and preparing and uploading record of meeting notes relating to such meetings;* Responding to regulatory inquiries; aiding with preparation of regulatory responses; as well as regulatory activity tracking, internal reporting and escalation.* Building strong partnerships and collaborating effectively with FLU/CF stakeholders.* Communicates and escalates issues and emerging risks in a timely and concise manner.* Partnering with GRR colleagues to share best practices, identify regulatory themes and emerging issues.* Providing regulator agency relationship support, as needed (logistics, technology, reporting and research).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

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