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COMPLIANCE OVERVIEW


OV E RV I E W Carlton Senior Appointments is the market leading specialist within the senior appointments market. As a company we believe our exclusive focus within this market place has enabled us to consistently deliver above our more generalist competitors. Our unique approach combines both the proactive nature of contingency recruitment and the high delivery levels that the search methodology commands to provide successful delivery time after time with a cost effective approach. Our success in this area has led to significant and continued growth since inception, establishing Carlton Senior Appointments as a market leading provider within the European recruitment market. Carlton Senior Appointments’ Compliance Search Team has been trusted by some of the biggest players as well as boutique companies of high reputation. We strive to be leading the way and setting the industry standards. Through our commitment and expertise we look to offer a search recruitment service, enabling us to find the most highly qualified candidates and at the most cost effective rate.

T R AC K R E C O R D

5000

Over 5000 Europe based Compliance

98.5%

98.5% of our placements remain in

Professionals are registered with us

their position for at least 12 months

52

Over 52 successful placements in

20

Over 20 different financial services

Switzerland over the last 24 months

companies successfully placed with us


M A R K E T C O V E R AG E Our Team focuses on the following areas within the Compliance filed:

Core Compliance

Monitoring and Surveillance

Desk reviews

Investigations

AML

Regulatory Compliance

Sanctions

KYC/ Account Opening/ Documentation

Solvency

Corporate Governance

Banking and Finance Law

We also have consultants that specialise in functions outside of banking within financial services such as:

Private Equity

Strategy Consulting

Asset and Wealth Management

This structure has allowed us to be a leading provider of recruitment solutions to the financial services industry in Europe. Our key client list mainly consists of a number of the top international institutions, though in addition we do work with several more boutique banks and family offices that have outstanding reputations.


TESTIMONIALS CLIENT “The Compliance Team has undoubtedly been one of the most effective headhunters I have worked with. They were able to make a difference from the first call: they had a natural ability to listen and understand the specifics of an organisation and of a search, and they really care, both for their clients, and for the candidates they represent. The consultants maintained effective communication with both employers and candidates throughout the search.The candidates which the Compliance Team have brought to my attention were both right in my target, and top quality. They have excellent professional ethics, and I have no reservations in recommending them to prospective clients.� CEO, Swiss based Private Bank, CEO


CANDIDATE “Recruiting means a perfect match between the company and the candidate. It’s not about becoming a recruiter, it’s about being one. Like the Compliance Team. The only words which I’d like to add are, Thank you.” Senior Compliance Officer, Swiss Private Bank “Carlton’s Compliance Team has an aptitude for understanding job applicants that makes her stand out from all recruitment consultants I have worked with during my professional career. They pay close attention to what you say during consultation calls and captures the essence of your requests in their job proposals. In other words, they don’t just offer you a position that sounds pleasing, but they also make sure that it reflects your experiences and your professional objective.” Investment Banking Senior Compliance Officer


W H Y WO R K W I T H U S ?

COMPLIANCE SPECIALIST CONSULTANTS Consultants have industry specific knowledge enabling them to identify the highest calibre candidates for every assignment. INTERNATIONAL RESOURCES Our extensive International network allows us to source Compliance professionals not just from within Europe but also from Americas and Asia which allows us to provide a more extensive service than local agencies. RESEARCH LED RECRUITMENT We recruit through networking, referrals and relationships that we have built to ensure the best candidates are sourced. EXCEPTIONAL RELEVANT TALENT We have unrivalled access to a market leading talent pool.

K E Y P L AC E M E N T S ROLE

COMPANY TYPE

LOCATION

Head of Compliance

Leading Universal Bank

Geneva

Chief Compliance Officer

Private Bank

Zurich

Group Compliance Officer

Leading Insurance Company

Zurich

Market Abuse Monitoring Specialist

Investment Banking

Germany

Deputy Head of AML

Tier One American House

Zurich

Senior Compliance Officer

Investment Bank,

Geneva

Head of Compliance

Asset Management

UK

Deputy Head Compliance

Trust and Fiduciary

UK

Senior Compliance Manager

Swiss Asset Management

UK

Head of Compliance and Operational Risk

Investment Banking

Germany

Senior Reviews Specialist

Investment Banking

Germany

Compliance Analyst

International Institution

Basel

Sanctions Compliance Officer

Tier One Investment Bank

Zurich


C O N TAC T U S

compliance@carltonseniorappointments.com www.carltonseniorappointments.com

LONDON

MUNICH

GENEVE

33 King William Street

Landsbergerstrasse 155

1 Rue De Rhone

8th Floor

80867

14 204

London, EC4R 9AS

Munich

Geneve, Switzerland

T +44 207 078 0510

T +49 89 57959 425

+41 22 819 1830


compliance@carltonseniorappointments.com www.carltonseniorappointments.com

LONDON

MUNICH

GENEVE

33 King William Street

Landsbergerstrasse 155

1 Rue De Rhone

8th Floor

80867

14 204

London, EC4R 9AS

Munich

Geneve, Switzerland

T +44 207 078 0510

T +49 89 57959 425

+41 22 819 1830


Compliance Overview