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Senior Compliance Manager
Our client is a leading banking institution with a significant presence both in Asia Pacific and globally. With an established brand and reputation in their core markets, they continue to develop their Transaction Banking service line as a best in class service to existing and potential clients.As such, an opportunity has arisen to join the Compliance function for the above business line in a highly visible and autonomous role here in Hong Kong. The successful candidate will join at an exciting time both for this team and the organisation as a whole in Asia. Key duties will include but not be Read more […]
Head of Regulatory Compliance & Company Secretarial
Our client, a Top Tier Law Firm, is recruiting for a Head of Regulatory Compliance Company Secretarial (Funds). The successful candidate will be expected to lead, manage and grow the regulatory and corporate governance compliance and the corporate secretarial team that sits with the funds department. Ideal candidates will have min. 5 years’ experience. This is a newly created role in the organisation and a full job spec is available. Please contact Sarah Kelly, Partner, The Panel for a confidential discussion 01 63 77 071
Asset Management Compliance
We have been exclusively retained by our client , the asset management division of a globally renowned financial services group to identify a key individual for its London offices The office is located in the City of London and offers a collegiate and pleasant working environment Responsibilities Responsible for review and approval of marketing materialsAssist with the oversight of OEIC fundsResponsible for KYC/On-boarding Support global projects Assist with the research and analysis of regulatory developments Project work as requested. You are likely to have at least three years Read more […]
Compliance Testing Examiner
A major international bank has an opening in their Compliance Testing group. The purpose of the role is to act as an expert in the areas of control testing and compliance risk awareness. This person will be responsible for providing technical and subject matter expertise on all compliance testing. Responsibilities will also include maintaining ongoing awareness of key factors that affect the compliance environment.-Minimum ten years of business, audit, and/or accounting experience -CPA, CA, or CIA certification a plus -Wide range of experience in product lines and regulatory experienceInterested Read more […]
Regulatory Compliance
High calibre individual with excellent academics and significant compliance or risk experience gained from a securities –related environment sought by this progressive and extremely prestigious global investment house.The role will suit a compliance professional able to demonstrate a good understanding of the regulatory regimes across several jurisdictions to include UK (FSA), EMEA and US. Knowledge of both regulatory and corporate compliance is essential and previous monitoring experience will be a definite advantage.This is a key role within the wider compliance team and will involve taking Read more […]
MLRO and Compliance Manager
MLRO/Compliance Manager – London BranchInternational Banking group is looking for an MLRO/Head of Compliance to advise and run the London Branch’s regulatory responsibilities- focusing on their Corporate Banking Activities.The ideal candidate will have excellent communication skills and be able to network a complex banking structure. Being able to provide expert AML, STF guidance and advisory coupled with broader Compliance issues.Supported by three staff and reporting to the EMEA�Head of Risk Compliance, this position carries CF10 CF11. Ownership will include:-Regulatory relationships-AML Read more […]
Compliance Desk Review Manager
Fantastic new contract role at major European Bank!Perform desk reviews in accordance with the desk review procedures as prioritised in the compliance review plan� in the London branch, and, as appropriate, cross border for head office or other branchesAssist with compliance risk assessments to identify relevant compliance risks relating to all desks and support and control functions in London Branch, and escalate these risks as appropriateAssist with thematic reviews performed in the London branch, and, as appropriate, cross border for head office or other branchesUpdate the compliance monitoring Read more […]
Commodity Trading & Financial Services Compliance / Regulation Director (MiFID, EMIR, SOX, B-Next)
My client has a very well established North American consulting business (300+ employees) and has recently set up a London office to aggressively grow their EMEA and Asia regions. Based from their London City EMEA HQ, reporting directly into their Managing Director for EMEA and Asia, you’ll lead their Regulation Compliance business, inheriting a handful of consultants and looking to further grow your team. My client specialises solely within commodity trading and financial services and is looking for an experienced Compliance Regulation Senior Manager / Director who has a deep understanding Read more […]
Head of Compliance, Global Asset Manager
Reporting to the Asia COO, your key responsibilities will be to manage the registration and marketing of funds and assist in the development of distribution agreements across Asia, primarily for the Hong Kong and Singapore markets. Working closely with the business and asset class (equities, fixed income, real estate and alternatives) compliance heads at global headquarter level, you will seek to establish a common and consistent compliance framework and collaborate on jurisdictional differences in fund prospectus and fact sheet regulatory requirements. On the ground, you will work with Relationship Read more […]
Senior Compliance Manager
A leading UK Fund Manager based in the West End of London require a Senior Compliance Manager to join their Front Office Compliance Advisory Team. Reporting directly to the Head Of Compliance this role is responsible for providing Compliance Advisory Services to the fund managers and relationships managers on regulatory developments, policies and procedures as well as the design and delivery of compliance training. This role has the scope to manage up to a team of 5 Managers, however can hold no direct management responsibility if the successful candidate rather not.The fund manager are an equities Read more […]