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Senior Compliance Policy Adviser – Out Sourcing / Off-shoring – SINGAPORE recruitment
The Position:You will be the primary Compliance resource for all outsourcing and off-shoring projects in APAC. You will take full responsibility for Data compliance and work on the formulation, implementation and monitoring of such policies and contracts. Whilst this role performs a key compliance function, you will have direct reporting to the Global Head of Outsourcing for Technology and Ops.You will be heavily involved in the following areas:Advisory / Risk Identification – act as Principal Counsel on outsourcing data governance and technology strategy and compliance issues. Identify legal Read more […]
Chief Compliance Officer – Foreign Bank recruitment
The RoleYou will oversee a team of 6 compliance professionals. This Foreign Bank has been under a Cease and Desist order however, has made great steps forward and has been commended in recent months by the Federal Reserve for the steps forward it has made. However, naturally the business is looking for an individual with exceptional experience in managing the relationship with the Fed and who can continue the efforts and further develop the Compliance function in to a world class program.You must have strong experience liaising with the Federal Reserve and ideally had a demonstrated track record Read more […]
Part Time: Investment Compliance Analyst recruitment
The role holder will have previous experience in Compliance monitoring, compliance advisory and knowledge of pre trade compliance system. The role will suits someone who has previously worked within an Asset Management firm and has got exposure to Capital market products as Fixed Income and Equities. The candidate will have an investigative and questioning nature, flexibility and ability to provide Regulatory advise to the Front Officer and Back Office working with a solution-oriented approach.
Compliance Monitoring – Assistant Manager recruitment
This is an excellent opportunity for compliance professional keen to join a successful and internationally renowned global bank. As a Compliance Manager, your responsibilities will include: Carry out compliance monitoring reviews to obtain assurance that there is no breach of regulation, codes or company standards Foster a close working relationship with Compliance Advisers, Head of Compliance, Front office and audit teams to better embed regulatory requirements Track and follow up findings identified and escalate professionally and on a timely basis Contribute to the preparation of the monitoring Read more […]
Regulatory/Compliance Business Analyst – Equity Derivatives Trading recruitment
Global Financial firm is seeking a Senior Business Analyst with Regulatory/Compliance experience for their Equity Derivatives Trading Desk. Candidates must have expertise in U.S. trading regulations and market structure issues, including: Reg SHO, Reg ATS, Reg NMS, Reg M, Distributive Linkage, Market Access Rule, circuit breakers, best execution, trade reporting, OATS, Rule 15a-6, Large Trader Reporting Rule, Limit up/Limit Down Rule, Institutional Suitability Rule, information barriers, etc. This is a Fulltime role located in New York City.Requirements and responsibilities include:5-10 Read more […]
Assistant Compliance Manager, Asset Management ($20-35K) recruitment
The Company As one of the leading asset management firms, our client is identifying an experienced Assistant Compalince Manager to join their growing business. In this role you will be responsible for providing support to the Compliance Manager, assisting in the ongoing compliance monitoring, handling licensing matters, ensuring regulatory obligations are met and that adequate controls are in place. The Role Performing risk analysis on new business and new product; Assisting in reviewing the marketing materials to ensure that regulations are adhered to; Ensuring regulatory compliance is adhered Read more […]
Director, Compliance recruitment
My Client is a leading global investment bank who offer the full suite of investment banking activities in Asia including ECM, DCM and MA/IPO work. Following a period of stability for the bank in recent years, my client are now looking to add an experienced Compliance professional to their existing Equities Advisory Compliance team. An opportunity has arisen for an experienced Compliance professional to join the Compliance Advisory team based in Hong Kong covering their Equities business. This is an opportunity to join a leading organisation who place a large amount of emphasis on their governance Read more […]
Fund Compliance Analyst recruitment
State Street Corporation (NYSE: STT) is the world’s leading provider of financial services to institutional investors including investment servicing, investment management and investment research and trading. With $21.807 trillion in assets under custody and administration and $1.866 trillion in assets under management at December 31, 2011, State Street operates in 29 countries and more than 100 geographic markets and employs 29,740 worldwide. For more information, visit State Street’s web site at www.statestreet.comJob Description:Following a Regional Shared Services approach, the Fund Compliance Read more […]
Vice President, Legal And Compliance, Sales & Trading Compliance Advisory recruitment
Role Description:• Provide Compliance support for Sales and Trading (equities, fixed income, commodities and futures), Investment Banking, Research, Prime Brokerage as well as central compliance matters (licensing and other regulatory applications)• Leadership – supervising a group of 3 Compliance Professionals• Advisory. Provide advice either independently or with other team members on regulatory compliance issues. • New business initiatives. Review and lead new business initiatives from a local regulatory, best practice and Firm perspective. • Compliance policies and procedures. Review Read more […]
Compliance & Legal Manager (Exclusive Mandate) recruitment
As you would expect, this role covers a broad range of duties including (but not limited to):• Maintaining the policies, procedures, systems and controls to meet appropriate regulatory, risk management and governance standards, building and embedding additional controls as required • Performing comprehensive and systematic testing of procedures to meet regulatory, compliance and business needs • Reviewing new business initiatives and assessing their regulatory implications• Managing the compliance timetable to ensure reporting and submission deadlines are met• Advising staff on regulatory Read more […]