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Regional Head of Compliance & AML
Our client, a global private bank is looking for a Regional Head of Compliance to provide advice, guidance and support to their private banking business. The individual would help to develop and maintain regulatory standards to enhance and protect the reputation of the firm.Duties Include:Manage the compliance and AML oversight for the private banking businessManage staff in meeting compliance and AML requirements for the private banking business.Liaise with the regulators and maintain relationships on behalf of the firmLiaise with Senior Management to provide regulatory advice when requiredDemonstrate Read more […]
Generalist Compliance Officer
Leading Hedge Fund, seeks a compliance generalist to join their expanding regulatory regime. The role will have a broad based focus with key responsibilities including; * Development of the surveillance the function across all asset classes and fund types, assisting with the implementation of a bespoke surveillance system by liaising with the IT department to co-ordinate business requirements. * Monitoring changes to existing or new business practices and products to ensure that procedures are changed accordingly * Assist the business in complying with all relevant UK and international Read more […]
Generalist Compliance Officer
Leading Hedge Fund, seeks a compliance generalist to join their expanding regulatory regime. The role will have a broad based focus with key responsibilities including; * Development of the surveillance the function across all asset classes and fund types, assisting with the implementation of a bespoke surveillance system by liaising with the IT department to co-ordinate business requirements. * Monitoring changes to existing or new business practices and products to ensure that procedures are changed accordingly * Assist the business in complying with all relevant UK and international Read more […]
Compliance Testing Officer
Responsibilities: * Conduct compliance monitoring and testing. * Annual risk assessments. * Annual policy and procedure reviews/revisions and development of new policies and procedures, where applicable. * Monitoring all regulatory changes, including communicating new requirements, and assisting in creating/revising policies and process to meet new requirements. * Personal trading surveillance activities; on-boarding of new employees, maintenance of watch/restricted list, disposition of violations and maintenance of surveillance system. * Compliance training.Must possess: * Strong knowledge of Read more […]
IBD Compliance, Senior Associate
IBD Compliance, Senior AssociateOur client is a top-tier investment bank. A newly-created opportunity in its IBD/MBD compliance team for a solid compliance professional to join this well-established team in Hong Kong!You will be supporting the investment banking and merchant banking division to provide regulatory and compliance support and will be reporting directly to the Head of IBD. In the role you will: • Advise on compliance, regulatory, policy and reputation issues, as well as advise on new business initiatives; • Implement testing and monitoring to assess the effectiveness of controls Read more […]
Compliance Manager
Our client has a strong presence in London and Europe and has been providing a wide range of financial products and services globally. Due to continued business expansion in Asia, they are now looking for a Compliance Manager to join this exciting team and assist on expanding the businesses in Hong Kong and Singapore.In this role you will report to the Global Head of Compliance base in London. You will be conducting regular compliance monitoring and carry out compliance advisory to different business units in relations to investment products, licensing, and related regulations. You will need to Read more […]
IT Compliance PM
Job Description – The successful candidate will take ownership of a book of work made up of a number of small to medium sized projects covering IT compliance. The role will sit within a change organisation that has major senior stakeholder sponsorship from the business.The role will lead a small team of BA’s and testers who are based both in and off shore, to drive the delivery of the book of work. This position will sit within a team that build and supply a range of finance applications largely across the middle and back office. The majority of these solutions are vendor based rather than in-house Read more […]
Director, Compliance Officer, Fixed Income, Currencies & Credit
Title: Director, Fixed Income, Currencies Credit, TreasuryYour role:Provide compliance coverage and advice for – Fixed Income, Currencies Credit, Treasury (“FIC” “TRE”)Coordinating with other Compliance Officers within the region in respect of FIC TREReview NPC proposals in respect of FIC TREEnsure business line is updated with relevant HKMA, SFC and HKEx rules and regulations, and market practicesManages Compliance projects related to HKMA/Banking Ordinance requirements applicable to FIC TREHandle customer complaints for FIC TREEnsure there is an effective compliance monitoring plan Read more […]
Legal Counsel or Senior Compliance Advisor, Regulatory Reform
International Investment bank seeks a Senior Legal Counsel to support the Head of Regulatory Reform in the delivery of a strategic, consistent, holistic, effective and efficient legal and compliance framework for the management of the multi-jurisdictional regulatory reform agenda. The ideal candidate will also communicate and work with various banking teams which include: Legal and Compliance function, key business stakeholders and business Strategy and Public Affairs in delivering strategic solutions to multi-jurisdictional and material regulatory reform impacting or likely to impact the Bank’s Read more […]
Compliance Executive required by global market leading financial services firm based in London
The role has been created to represent the Compliance function in the UK office to assist the CCO in achieving the Compliance Work Program and promoting critical ethical standards to ensure the achievement of the objectives of all compliance programs across the client.Key responsibilities:• Monitor and report results of all compliance, ethics and supervisory related efforts of the client• Provide guidance to the client and their Board on matters relating to Compliance. This will include assessing compliance Read more […]