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Head of Regulatory Conduct Compliance, Retail
Reporting directly into the Head of Retail Compliance, the successful candidate will be responsible for: Provision of advice on compliance within COBS rules Developing and maintaining relationships with regulatory bodies Providing leadership over regulatory and compliance issues Consistently reassessing the operational risks associated Implantation of Group Compliance Policy The ideal candidate will have exceptional knowledge of COBS rules, ideally from a retail banking background, and will possess the business acumen to influence stakeholders of all levels within the organisation. For further Read more […]
Portfolio Compliance
Key responsibilities: Portfolio compliance: ensuring investment restrictions are accurately coded, daily investment restriction monitoring Trade execution monitoring: perform monitoring testing, operational risk reporting Client liaison: responding to clients on matters relating to the control environment The successful candidate will come from investment management and have proven experience interpreting IMAs and coding a compliance monitoring system such as Charles River. A fantastic opportunity to join a leading and successful investment manager that provide continued training, internal progression, Read more […]
Senior Compliance Officer
Our client is an International Securities Firm with strong presence across China and Hong Kong are looking to set up a wholly owned subsidiary office in Singapore dealing in Securities. They are seeking a highly motivated and driven individual who has a strong understanding of the Singapore and Hong Kong Securities market to be part of a pioneering team to oversee all compliance matters for the firm. Reporting directly to the CEO based in Singapore and Regional Head of Compliance, the incumbent will be instrumental in handling all Singapore regulatory issues, dealing with the regulators, legal Read more […]
Investment Mandate Compliance Manager
Our client is one of the country’s leading diversified financial service firms, offering a wide range of product channels, and a geographically diverse balance sheet.A senior leadership role with a focus on Compliance Risk has become available within the firm’s Investment Management business that has responsibility for the facilitation, identification, monitoring and treatment of investment compliance risks across a platform with over A$50bn in FUM.To be considered for the role you must have; *At least 10 years Investment Management industry experience, with a strong understanding of regulatory Read more […]
Senior European Compliance Manager
Our client, a global investment management firm is looking for a Senior European Compliance Manager to provide regulatory advice and guidance to their front office and senior management. The individual would help in manage a team to develop and maintain regulatory standards to enhance and protect the reputation of the firm. Duties Include: Develop, manage and maintain the relationships with local and overseas regulatory bodies. Provide compliance advice and training to the front office and senior management. Ensure that the business and the firm are kept abreast of new European Read more […]
International Compliance Manager
Our client, a Global Commodities firm is looking for an International Compliance Manager to assist the Global Head of Compliance in ensuring the front office complies with international regulations exchange rules that the firm must comply with. The individual would help identify and mitigate regulatory risks across the business and help promote a proactive compliance culture. Duties Include: Support the Global Head of Compliance to ensure the business meets its international regulatory requirements. Liaise with other departments in relation to money laundering deterrence, including the provision Read more […]
Compliance Associate – Generalist Role
A financial services boutique with offices in London, New York and Hong Kong are looking to hire a temporary compliance associate to assist the compliance team with all aspects of their regular duties. The company has a number of different business lines and brands operating under the group and this role will involve working with all of them; this includes a structured products business, a hedge fund, an interdealer brokerage, a stock loan business and a security services business. They are looking for someone that has 2-4 years compliance experience, preferably in a generalist compliance role Read more […]
Compliance Specialist / Investments
The main purpose of the Compliance Analyst will be to ensure that the firms’ global filing disclosure obligations related to aggregate beneficial ownership are met. A varied position, the role will involve but not be limited to: Completing filing obligations Gathering market intelligence on upcoming new / changing filing requirements Building strong relationships with vendors Analysing poison pill information and implementing restrictions To be considered for this role we are looking for someone with a solid compliance background with a leading investment management organisation together with Read more […]
Equity Compliance Officer
Senior Equity Compliance Officer Advise and Update 13M – 17M Tokyo International financial institution is currently looking for an experienced Equity Compliance officer to join a dynamic team. This position sits on the trading floor and focuses on providing real time advice and guidance on compliance related issues to the business. Additionally you will also be required to perform daily trade surveillance and develop internal policies and procedures. The ideal person for this role will have at least 3 years experience in a similar role and will also have strong knowledge of listed derivatives Read more […]
AML Compliance Officer
EMEA Anti-Money Laundering Compliance (AMLC) is responsible for coordinating the anti-money laundering, anti-bribery and sanction programs for UBS throughout the region. The team helps to provide the firm with the necessary tools to help prevent the use of UBS’s facilities for money laundering, terrorist financing or for violating economic sanction laws, as well as preventing bribery. An opportunity has arisen to fill a full time role within AML Compliance in EMEA with a focus on a number of areas within the AML, Sanctions and Anti-Bribery Corruption Programs. This will include: Executing the Read more […]