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Director, Regional Risk & Compliance for APAC
Our client is a leading financial services institution servicing a top-tier institutional client base. With an ever growing presence in the Asia market, they are seeking a seasoned compliance professional to help manage the risks of their Hong Kong business.The RoleReporting to the Regional Head of Risk and Compliance, you will be fully responsible for:Establishing appropriate risk compliance framework and to identify, assess and govern the risk of the businesses for the regionMonitoring and reviewing the effectiveness of the control environmentCollaborating with the business unit heads to determine Read more […]
Head of Risk and Compliance
Our client is a global asset management with over US1 billion under management servicing a top-tier institutional client base. With an ever growing presence in the Asia market, they are seeking a capable compliance professional to help manage the Legal, Risk and Compliance matters for their businessThe RoleReporting to the Chief Operating Officer, you will be fully responsible for the following:Review and maintain compliance manual for completeness, relevance and accuracyMaintain all compliance programs (PA Trading, Gifts Entertainment, Complaints, licensing/CPT, Privacy, Allocations etc)Remain Read more […]
Manager, Compliance Regulatory Change
The regulatory landscape is changing dramatically and we are hiring for a Compliance Policy expert to to support the implementation of the European Market Infrastructure Regulation (EMIR) and other regulation associated with G20 commitments regarding the central clearing and electronic execution of derivatives and the associated market conduct rules for an Investment Bank. Working with the project team to assist the European business in preparing for the implementation of EMIR and other relevant regulations, by:Reviewing and interpreting the regulations, giving advice to the business about Read more […]
Senior Compliance Monitoring Managers
– You will be responsible for managing all components of a review to ensure that reviews are delivered to the expected quality within the agreed timeframe – Qualify roles and responsibilities with the review sponsor and agrees review scope and approach – Agree the recommendations action plan and timetable for implementation with the review sponsor -Make constructive proposals to improve the effectiveness of the Compliance Monitoring review process – Prepare Compliance reports to specified standards including format, style and timeliness with the need for minimal changes – Conduct a quality review Read more […]
Junior Compliance Analyst / Graduate
An opportunity is now open with one of theUK’s premier banks based in the City ofLondon. The role is responsible for supporting a compliance advisory function working across a range of different financial products. The role involves advising different teams within the business on regulatory and compliance matters. You will be supporting four compliance managers in their daily advisory work with the front office teams. We are looking for a junior candidate, possibly a Law graduate with an interest in financial markets, alternatively a candidate with experience working with a compliance advisory Read more […]
Compliance Officer and MLRO Officer
On-going matters include all Compliance issues, including regulatory reporting, anti-money laundering requirements, KYC duties. The individual will report to the board of directors of ICM Capital Ltd.SkillsYou must work in an organised manner and be proactive on regulatory issues. Although at ICM Capital we work as a team you must have your own initiative and report to the board of directors.ExperienceExperience as a Compliance Officer with a regulated FCA firm is compulsory. Knowledge of the CFD and Forex business is a bonus.PositionFull-time. Competitive package offered.Company ProfileWelcome Read more […]
FX Advisory Compliance
The ideal candidate will have a proven track record in FX Advisory, at another leading investment bank, with good FX product knowledge and core exposure to and understanding of how trades are settled. This is a VP level role and will require you to be able to “hit the ground running”. Should your exposure meet these requirements, please kindly get in touch with Michelle on 02072461982, or email your details to michelle.myers@lmarecruitment.com
Compliance Communications Review Analyst
Position Overview:Primary responsibilities include reviewing and approving communications submitted by representatives, assisting with complex/escalated cases, reviewing and revising communications policy and serving as a subject matter expert to representatives and various departments throughout the company.Position Qualifications:Bachelor’s degree in Finance or other business related field or equivalent work experienceSeries 7, 24, 66 industry licenses requiredAbility to obtain the Series 4 and 53 within 3-6 months of hire, contingent upon current level of licensureVariable Life and Annuity Read more […]
Growth Equities Compliance Officer
Logan Circle, the traditional asset management arm of Fortress Investment Group LLC, is seeking an experienced Compliance Officer who understands the equity markets and the fiduciary and regulatory obligations of registered investment advisers to join its legal and compliance team. The individual will work closely with members of the legal and compliance department, operations, and investment personnel of Logan Circle’s Growth Equities business, located in Tampa, FL, as well as the Logan Circle fixed income business located in Philadelphia and New Jersey. The position will report up through Read more […]
Operational Risk & Compliance Manager
An opportunity has arisen for a risk and compliance professional to join the Risk Management Group to support our Private Wealth Business in Queensland. This will be a 12 month maternity leave contract. It is an excellent opportunity to utilise your strong risk management skills gained in a stockbroking and financial planning environment to promote, educate and provide guidance to our advisers; keeping them up to date with the Risk Management Framework and regulatory requirements. Working closely with our Advice Risk Analyst and the State Manager for Macquarie Private Wealth you will be confident Read more […]