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Manager / Senior Manager, Risk & Compliance recruitment
Premium retail advisory businessPartner with sales channelsExperienced and professional teamMacquarie Group is a global provider of banking, financial, advisory, investment and funds management services. Macquarie’s business is structured into six operating groups and five support groups. Macquarie Private Wealth (MPW), a division of the Banking and Financial Services Group, is the primary relationship manager for Macquarie’s retail clients in Australia and New Zealand. Services include, full-service stockbroking, on-line broking, financial planning, private banking, private portfolio management Read more […]
Head of Compliance – Leading Securities House recruitment
About Our ClientAn excellent opportunity has arisen for an experienced compliance candidate to join their dynamic and stable team based in Hong Kong.Job DescriptionReporting to the COO, you will be responsible for:Formulating and reviewing compliance policies and conducting compliance checkingMonitoring the Group’s operational procedures and activities to ensure adherence with regulatory requirementsAdvising management and the business on compliance issues and regulatory trendsActing as the contact person with various regulatory bodies and answering any inquiries from regulatorsProviding Compliance Read more […]
VP, Compliance (Transaction Banking) recruitment
• Major Global Bank• Advisory Focus• Excellent Career ProspectsOur client is an established global bank with significant presence in Asia Pacific. The bank has a great reputation for encouraging professional development, internal mobility as well as a culture which promotes creativity and innovation.You will support the bank’s transaction banking businesses in Singapore, providing compliance advice on regulatory requirements, internal policies and formulating solutions to facilitate business development. You will review new business initiatives and processes, assess impact on new regulations Read more […]
Director–Compliance for Commodity Derivatives recruitment
Enhance, implement and maintain an effective regulatory compliance program over the CD activity, with particular focus on physical gas and electricity trading, as well as financially settled contracts of all commodities. Perform risk-based functions by: Working on the trading floor each day Researching regulatory compliance issues and rule changes Writing and having readily accessible, Compliance policies, procedures, manuals, results and actions that evidence implementation and effectiveness Providing extensive training and ad hoc advice to senior managers, sales, trading, and support areas Read more […]
Sr. Ethics & Compliance Manager (10 yrs pqe) Guangzhou, China recruitment
This mandate will be responsible for security operations, investigations, anti-corruption, corporate compliance related matters in the Asia-Pacific region. Ideally, you will have 10 yrs of relevant legal experience preferably gained from MNC and/or a law enforcement agency. A strong ethical confident personality with excellent negotiation communication skills will be well-suited for this role. REF: 10933/EFC
Fund Compliance Manager required for Global Asset manager based in Hong Kong recruitment
This person will sit within the group compliance unit but act as an advisor to compliance related matters within the asset management business of this captive asset manager. In this role you will report to head of group compliance Asia and manage one other junior compliance officer.This company has dramatically launched 10 authorised funds in last couple of years and seeks to launch another 5 in the pipeline. My client has recently also launched some exciting new products including ETFs, Hedge funds, commodity funds, long only in fact almost the entire sweep of funds from offshore to onshore including Read more […]
Compliance and Trade Surveillance BA/PM IT – VP – HK or SGP recruitment
This is a key VP level hire that will report into Surveillance IT to users in EMEA and Asia. Responsiblities -Responsible for the data life cycle from business requirements analysis and data feed definition and data mapping. -Work with Surveillance users ro document business requirements -Responsible for gathering and documenting functional requirements -Using Functional requirements to assist with user interface design and wireframes -Contribute to development of best practices -Oversee the integration of data transformation in overall architecture. -Understand high level database architectures Qualifications – Read more […]
Head of Compliance recruitment
Job Description All IPO is looking for an individual who is keen to come on board to immediately help shape and grow the business. You will provide advice to all 3 business lines as well as advising the Board of Directors on Compliance related matters and how changes in regulation may affect the business. Above all you will have full ownership for compliance policy within our regulated company.Other duties (but not limited to) will include: The responsibility of AML and client due diligence; approval of financial promotions; maintain up-to-date Insider Lists and monitor personal Read more […]
Senior Project Manager – Regulatory Compliance recruitment
ResponsibilitiesRepresent Asia to prepare and communicate project status with the global team, regional steering committee, regional working group, and other involved partiesFacilitate business requirements gathering and analysisFacilitate and document further impact assessmentsDocument escalated questions and points for technical interpretation via Asia legal counsel, Global PMO and/or Big4 advisory servicesDevelop regional project documents (charter, plans, etc.)Manage project plans and progress, including scope, schedule and cost RequirementsUniversity degree holder (or related discipline)Minimum Read more […]
Director Compliance recruitment
The successful person must have experience in either the USA or Europe and have Big four experience.Business Financials• Assist Finance Managers in ensuring effective financial and operational internal controls are in place and operating as designed.• Ensure all countries within the area of responsibility meet the SOX requirements.• Support local management with the documentation of key controls for all process matrices.• Support local management in the evaluation of the effectiveness of internal controls and support them in developing action plans to cover such identified gaps in Read more […]