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The Compliance Practice works closely with the Risk Management Practice and operates across all areas of compliance.
The team works with investment banks, asset managers, hedge funds, market makers and private wealth managers. Areas of coverage include, compliance advisory, monitoring and testing, control room, regulatory affairs and policy, training and competence, regulatory development, assurance, financial crime, anti-money laundering, sanctions, privacy and retail compliance.
Click here for the Compliance team
Click each category title to reveal our recent track record
Buy-Side
Chief Compliance Officer, European Asset Manager
Head of Distribution Compliance, European Asset Manager
Head of Compliance, US Asset Manager
Deputy Head of Compliance, US Asset Manager
Deputy CCO, European Asset Manager
Compliance Director, US Hedge Fund
Compliance Director, UK Private Bank
Sell-Side
Global Head of Markets Compliance, European Investment Bank
Global Head of Legal & Compliance, UK Investment Bank
Director, IBD Compliance, UK Investment Bank
Head of Fixed Income Compliance, UK Investment Bank
Head of Germany, Compliance, European Investment Bank
Head of Compliance, US Brokerage Firm
Head of Compliance, UK Brokerage Firm
Deputy Global Head of Regulatory Risk & Compliance, UK Investment Bank
Compliance Director Equities, UK Investment Bank
Executive Director ECM, European Investment Bank
Compliance Director DCM, European Investment Bank
Compliance Director Fixed Income, UK Investment Bank
Compliance Director Equities, US Investment Bank
Compliance Director, South African Investment Bank
Compliance Director ECM, European Investment Bank
Group Regulatory Affairs Director, UK Investment Bank
Regulatory Affairs Director, UK Investment Bank
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