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Bank Regulatory Compliance Officer – Foreign Bank recruitment
The roleIn addition you will establish and maintain the regulatory compliance and training program for Branch officers and employees. The role reports directly to and works very closely with the CCO of the New York Branch. Other key tasks may include but not be limited to:Monitor compliance with applicable Federal and New York State laws and regulations;Conduct regular compliance reviews of those areas affected by regulations;Keep abreast of changes in the law and new regulations through seminars, conferences, compliance committees, external training and publications;Coordinate and develop plans Read more […]
Group Compliance Assurance Senior Manager recruitment
Group Risk is an independent function responsible for ensuring there is an appropriate risk governance framework on a Group wide and divisional basis, and that day-to-day risks are managed effectively within this framework. The management of risk is a fundamental activity which underpins the Group’s reputation, performance and future success. Our specialist teams are; Credit Risk, Market and Insurance Risk, Regulatory and Operational Risk, and Risk Infrastructure and Analytics. RBS manages its compliance risk in a manner which will support the organisation to achieve and maintain its goals Read more […]
Compliance Manager, Private Bank recruitment
Compliance Manager, Private BankingA fantastic opportunity has arisen to join this leading bank as a Compliance Manager within its established Private Banking team!Our client has a strong presence internationally and has been well-established in the banking industry in Hong Kong. Due to sustained growth and expansion plans, they are currently looking for a Compliance Manager to supervise a small team of compliance staffs in the Private Banking division.RESPONSIBILITIESReview and comment on a wide range of policies and procedures, new product proposal, marketing materials to ensure these are all Read more […]
Head of Compliance Urgently Needed! recruitment
ResponsibilitiesEnsuring that relevant compliance issues are adequately escalated. Ensure the business area conducts its activity in accordance with all relevant external regulators and retail policies.Ensure compliance with the regulatory and statutory requirements and retail compliance policies and procedures affecting the business area.Providing technical advice and compliance support to management and business to resolve compliance related issuesMaintain a compliance monitoring programmes appropriate to the business and conduct a programme of surveillance Read more […]
Compliance Officer (4-month contract) recruitment
Objective / Summary of ResponsibilitiesTo assist Head of Compliance in carrying out the compliance function on an interim basis and the provision of compliance monitoring services to the business undertaken by the Singapore office. A hands on role with wide range of Compliance activities including planning, executing and overseeing major areas of the compliance function. Key Purpose and Responsibilities of JobPerform pre and post-trade compliance reviews against portfolio investment restrictions using the Bloomberg Compliance system and supporting tools/reportsVetting of marketing materials and Read more […]
Compliance Manager, Insurance recruitment
If you have the following skills and experience then this may be a great opportunity for you to join a dynamic team:4+ years of relevant Insurance Compliance experience;In-depth knowledge of applicable laws and regulations in insurance field;Strong business sense with good organizational skills;Good command of negotiation and interpersonal skills;Able to work independently with good analytical skill and the ability to provide sound and practical advice;The primary responsibilities for this role will be to provide compliant solutions and advice to the Company on daily business operations and assess Read more […]
Senior Consultant/ Consultant – Legal & Compliance Search recruitment
$ Highly Competitive PackageConnectedGroup has been established since 1997 with presence in Asia and Middle East. We have an impressive track record as a Legal Compliance recruitment specialist in Singapore. We can offer a robust market map, numerous PSL agreements across key Banking institutions in the region. In addition the desk enjoys steady job flow and has the potential to deliver very high revenue. We are looking for dynamic individuals who believe in our Mission “to be remembered for exceeding expectations” and who possess the values of being Candid, Creative and Connected! Job Description: Read more […]
FIXED INCOME COMPLIANCE – VP or above recruitment
Provide compliance advice to the business. Responsible for policy review and development. Complex product or transaction reviews including multi-jurisdictional regulatory, policy and new product reviews. Ongoing assessment of regulatory and compliance risks inherent in existing and proposed business activities. Advise assist other compliance colleagues with regional and global compliance policies and training.To be considered, you should be a degree holder with a minimum of 8 years of relevant experience. Excellent understanding of compliance principles and regulatory requirements. Sound interpersonal Read more […]
Senior Compliance Manager – Equities recruitment
Job Description In the role you will: Provide regional compliance advice on cash equities and derivatives Reviews sales and marketing materials Conduct compliance training Liaise with the SFC on licensing conditions and regulatory requests Review and approve new product applications Required Experience To be suitable for the role you will have: A relevant degree A minimum of 5 years regional equities compliance experience, preferably derivatives advisory Excellent command of both written and spoken English For more information please contact Stefanie Nitze on +852 2973 6333 or email stefanienitze@taylorroot.com.hk Please Read more […]
Compliance Consultant (Retail Investments focus) recruitment
Our Regulatory Compliance Consulting business is dedicated to providing compliance advisory services to our diverse client base and as part of our growth plans we are looking to hire an experienced compliance professional with solid experience gained in the retail funds / retail investments space to join our teamKey Responsibilities: • Provide clients with responsive regulatory advice and solutions • Update clients on regulatory change and advise on how it impacts their business • Provide advice on and draft changes to manuals and other compliance documentation • Set up relevant compliance Read more […]