- University undergraduate degree is required but a graduate degree and/or professional designation is preferred
- The candidate should have several years of experience in a Compliance or Regulatory function covering a major Broker-Dealer/Bank and/or trading experience.
- 10 years of relevant experience in the financial services industry in corporate and/ or investment banking areas.
- Awareness of the business activities, including business strategies, products and corporate areas.
- Strong knowledge of the regulatory and compliance requirements applicable to the activities undertaken by Global Markets in UK and Europe (e.g. FCA, PRA, ESMA, CBI, AMF, MiFID)
- Strong awareness of the control environment to manage and mitigate regulatory compliance risks.
- Understanding of key end-to-end processes related to relevant Capital Markets businesses
-
Director, Trade Floor Conduct/Supervision
2 weeks ago
Morgan McKinley London, United KingdomManagement, as the First Line of Defense ("1LOD"), is accountable for compliance with laws, and regulatory · Skills, Experience, Qualifications, If you have the right match for this opportunity, then make sure to apply today. · requirements applicable to their business areas whic ...
-
Medicines Management Technician
3 weeks ago
The London Clinic London, United Kingdom Full timeWe have an exciting opportunity for a Medicines Management and Dispensary Technician to join our Pharmacy department at The London Clinic, based at our main hospital site in London (W1G 6JA). We are offering a competitive salary (Band 5 NHS equivalent) per annum dependant on expe ...
-
Room Leader
3 weeks ago
East Dulwich Grove Nursery Limited London, United Kingdom Full timeWorking time pattern: 40 hours/week (7:15-18:15 4 days/week OR 7:15-16:15/9:15-18:15 - Five days /week) · Do you hold a Level 3 in Childcare, NVQ or equivalent Childcare qualification? · Do you shine when being a part of children's learning and development, making a difference by ...
-
Registered Care Home Manager
3 weeks ago
Ventry Care Homes London, United Kingdom Full timePosition: Residential Care Home Manager · Location: Golders Green, LB Barnet · Location Registration: Elderly / Dementia Care · Job Type: Monday to Friday from 08:00 to 17:00 · Responsible to: Service Provider · Criteria: experienced CQC registered manager, with NVQ 5 / RMN / Q ...
-
Maitre D
3 weeks ago
Sagardi London, United Kingdom**Description**: · As a Maitre D you must be able to provide an excellent service and hold deep knowledge of all restaurant procedures and service standards. You will also be the person in charge of the floor with the Restaurant Manager and you must be capable of supervising wait ...
-
Floor Supervisor
4 weeks ago
the grill str4tford ltd London, United KingdomSummary: Floor Supervisor is an entry-level management position. A Floor Supervisor shares in the responsibility for the overall performance of the store; and assists Store Management with generating sales potential, recruiting and developmental staff, maintaining store appearanc ...
-
Events Team Leader
3 weeks ago
Hyatt Regency London Blackfriars London, United KingdomSummary · Meetings & Events Floor Supervisor Salary: £27,000 + Service Charge, 40 hours per week · **Meetings & Events Floor Supervisor** · We are delighted to be advertising for a Meetings & Events Floor Supervisor / Team Leader at Hyatt's newest UK hotel located in London Black ...
-
Gucci: Stock Controller, Harrods
3 weeks ago
Groupe Kering London, United KingdomSummary · About Gucci · Founded in Florence, Italy, in 1921, Gucci is one of the world's leading luxury brands. Following the House's centenary, Gucci forges ahead into the next hundred years, continuing to redefine luxury while celebrating the creativity, Italian craftsmanship, ...
-
Retail Store Supervisor
3 weeks ago
Battersea Academy for Skills & Employment London, United KingdomHUGO BOSS is one of the leading premium fashion and lifestyle companies with around 14,700 employees worldwide. As the most important interface to our customers, you have a passion for our products and act as brand ambassador for HUGO BOSS. Join a team that creates an exceptional ...
-
Healthcare Assistant
2 weeks ago
Cleveland Clinic London London, United KingdomResponsible for providing basic nursing care to patients under the directions and supervision of trained nursing caregiver Developing competence in carrying out basic observations and recording results Assist with the transfer of patients within Departments or floor using the cor ...
-
Maitre D'
3 weeks ago
Sagardi London, United Kingdom**Description**: · The **SAGARDI Group** was founded in 1996 with the goal of seeking our gastronomic **roots** and offer high-quality, solid and authentic dishes. Over the years, this project has become a prestigious referent in the restaurant world, one that initially specialis ...
-
Team Member
2 weeks ago
Bim's East Ham London, United Kingdom**Job description** · **Job Title: Restaurant Cleaner** · **About Us**: At Bims, we believe in providing exceptional service to our customers while maintaining a clean and welcoming environment. As a beloved fixture in the community, we're committed to upholding the highest stand ...
-
Restaurant Floor Supervisor
3 weeks ago
Indian Room London, United KingdomWe are an independent Modern Indian Resturant we have been running for past 18 years our reputation is our pride we are looking for floor supervisor who can assist the Resturant manger to day to day operations · - Must be passionate about exceeding customer expectations. · - Resp ...
-
Facilities Coordinator
2 weeks ago
Mitie London, United KingdomThe Facilities Co-ordinator role is the supervisor role supporting the Workplace Experience Manager and Soft Services team. · Supervising the team of 9 Facilities Assistants (FAs) to ensure day-to-day activities are completed on time · Supporting adherence to department KPIs · Dr ...
-
Office Assistant
3 weeks ago
Trafalgar Entertainment London, United Kingdom**JOB DETAILS**: · *** · **Job reference** · REQ00483 · **Date posted** · 06/02/2023 · **Application closing date** · 03/03/2023 · **Location** · London · **Salary** · £11.05 per hour · **Package** · **Contractual hours** · 40 · **Basis** · Full time · **Job category/type** · **J ...
-
Cleaner (Part-time)
3 weeks ago
Manor Preschool London, United Kingdom Part time**Cleaner** · **JOB DESCRIPTION** · **Post**: Cleaner · **Supervised & Responsible to**: Manager · **Hours of duty**: 5 hours per week · 2.00pm-3.30pm · 2 days a week on Tuesday, & Friday during term time only. · The person will be responsible for maintaining high standards of cl ...
-
Cesr Rotations in Emergency Medicine
2 weeks ago
Chelsea and Westminster Hospital NHS Foundation Trust London, United KingdomDUTIES OF POST Everyday Clinical Duties The main service commitments of the CESR doctors will be, under the supervision of the Consultants, to supervise the FY2s/CT1s and the junior clinical fellows, while maintaining a 'hands on' approach with patients. Out of hours you will be ...
-
Sales Advisor Jewellery, Accessories, Watches
3 weeks ago
Retail Jobs UK Limited London, United KingdomSales, Supervisor, Sales advisor, London, Fashion, Jewellery, Accessories. · **Key skills and Overview**: · - **Will have worked as a sales advisor within a customer facing environment that is focused on customer service**: · - **Supervision experience in motivating teams on the ...
-
Cleaner (Static)
2 weeks ago
Just Ask Estate Services London, United Kingdom**Job objectives and responsibilities**: · - Dust, damp wipe or wash walls, skirting boards, handrails, ledges, window sills, radiators, lifts, doors and frames · - Sweeping floors with brushes or dust control mops. · - Mopping floors with wet or damp mops. · - Hovering of carpet ...
-
Kitchen Assistant/housekeeping Staff
3 weeks ago
German Kindergarten London London, United KingdomThe German Kindergarten London Fields nursery is looking for a part-time Kitchen Assistant/Housekeeping staff. The job is for 15h/week, Monday to Friday, 3pm to 6pm every day. · Your duties will include: · - preparing healthy snacks for children · - keeping the kitchen environmen ...
Trade Floor Supervision - London, United Kingdom - MW Recruitment Limited
Description
Job Description
An international banking institution wish to hire a Trade Floor Supervision Director (team of 5) for the capital markets group, the First Line of Defense ("1LOD"), is accountable for compliance with laws, and regulatory requirements applicable to their business areas which includes direct accountability for Global Markets and indirect accountability for Regulatory Risk and Services.
Main Duties
Escalation to LOB Supervisors of issues that require attention
Handle "on-the-fly" requests from LOB Heads and trading staff for situation specific advice which may involve requesting interpretations.
Identify key trade and risk attributes and assist in maintaining comprehensive professional reporting templates.
Assess data and make informed decisions and sound subjective judgments to monitor trading activity for compliance with the relevant rules and regulations.
Present to stakeholders within the organization including Line of Business Management and work with technology partners to ensure timely and effective technology program delivery.
Communicate high order concepts in concise and meaningful way/Conduct user acceptance testing of new technology implementations.
Ability to challenge others about any action in an appropriate and balanced manner.
Direct access to all operations within their assigned BU(s), which includes access to all documents if the incumbent believes are relevant for the effective execution of their compliance responsibilities;
The authority to direct the BU(s) under their responsibility to perform monitoring when it is considered necessary and/or at the direction of the OGL and/or the Compliance Group;
Enabled to attend any meetings if the incumbent believes such is relevant for an effective execution of their compliance and oversight responsibilities;
Appropriate access to all levels of Management and the Compliance Group.
Experience Required
