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AVP, Legal, Compliance & Secretariat, DBS Vickers Securities
DBS is a leading financial services group in Asia, with over 250 branches across 15 markets. Headquartered and listed in Singapore, DBS is a market leader in Singapore with over four million customers and also has a growing presence in the three key Asian axes of growth, namely, Greater China, Southeast Asia and South Asia. The bank’s strong capital position, as well as “AA-” and “Aa1” credit ratings that are among the highest in the Asia-Pacific region, earned it Global Finance’s “Safest Bank in Asia” accolade for five consecutive years from 2009 to 2013 DBS Vickers Securities is one of the largest Read more […]
Compliance Officer
The Compliance Officer III will support the assigned Regional Banking Group (RBG) Compliance Manager by helping research and analyze pending/new/changed regulations, including related to the Dodd-Frank Act, and determining new requirements necessary for RBG to comply. The Compliance Officer III will also help monitor RBG’s compliance with, Regulations W and Y, Non-Deposit Investment Products requirements, and other assigned regulations. The Compliance Officer III will participate in business-as-usual compliance activities, special compliance projects and initiatives, and ad hoc assignments. THIS Read more […]
Compliance Monitoring
Contract to Permanent opportunity in Global Banking Markets Division of large European Bank covering general monitoring duties as part of a growing monitoring team. Fantastic opportunity for an experienced compliance monitoring expertHays Specialist Recruitment Limited acts as an employment agency for permanent recruitment and employment business for the supply of temporary workers. By applying for this job you accept the TC’s, Privacy Policy and Disclaimers which can be found at hays.co.uk Read more […]
Hedge Fund Compliance Analyst
The CompanyRobert Half are representing a West End based Hedge Fund for a senior Compliance Officer. The company is financially strong and trade a wide range of Asset classes and different strategies. They boast a small but busy Compliance team and are looking for a Senior Compliance interim to join their team on a minimum of 6-months.The RoleRobert Half are representing a West End based Hedge Fund for a senior Compliance Officer. The company are financially strong and trade a wide range of Asset classes and different strategies. They boast a small but busy Compliance team and are looking for a Read more […]
Advisory Compliance Officer
Main responsibilities Advising on compliance and regulatory aspects of new products and participate in New Products Committee Proactively maintain relationships and open communication with, and actively promote Compliance in front of, business lines and other control functions, providing support where necessary to address compliance requirements at earliest opportunity Active participation in the process of maintaining the risk cartography, ensuring that the inherent regulatory risks posed by business activity are determined, the mitigating factors assessed to determine the residual risk and the Read more […]
Compliance Manager
Key responsibilities of the role Review the business and identify the areas to be considered for the monitoring program ? Monitoring of various activities including trading, discretionary and non discretionary, products platform, IAM, Introducer relationships etc ? Work closely with CIO office for review and approval of products submitted for CWMIC from compliance perspective. ? Coordination of product approval with Central Bank and SCA. ? Good understanding of AML, Independent Asset Manager Relationships, Wealth Management Products. ? Support Retail business on product approval and wealth management Read more […]
VP, Equities Compliance, Global Investment Bank
Reporting to the Regional Head of Compliance, you will be responsible for providing advice to the business with relation to sales, trading, deal structuring for equities in Singapore. Your team will ensure that the firm is complying with local and group regulatory policies. Developing and refining compliance policies and procedures, monitoring and reviewing that the relevant controls are in place as well as liasing with regulators will be part of your responsibility. You will also provide compliance training on an ongoing basis. Degree qualified, you should have at least 7 – 10 years of relevant Read more […]
Senior Financial Crime Compliance Officer (Singapore)
Reporting directly to the Head of Compliance key duties and responsibilities of the role are as follows; • Provide advice to the Trade business, which includes Trade Operations, regarding Financial Crime Risk (FCR) risks and controls • Review new and existing Trade products and initiatives, performing an FCR assessment and recommend solutions to address any risks when necessary • Provide guidance to relevant jurisdictions in preparation for Trade FCR regulatory inspections • Review existing FCR controls in Trade to determine their adequacy • Propose revisions to existing controls, incorporating Read more […]
Compliance Risk and Controls BA/PM
Position Description:Allegis Group Services are the onsite recruitment partner at RBS and manage all contract and temporary opportunities for RBS MIB (Markets and International Banking).We want to connect with you and provide visibility to all the latest opportunities and events at RBS. Detailed below is just one the many contact opportunities for which we are currently seeking candidates for. Join our Talent Community in 3 clicks and let us follow your career so we can contact you when we have opportunities to share.http://connect.find.ly/ags-rbsWe have an outstanding contract opportunity for Read more […]
Head of Central Compliance, RMG, New York
The Risk Management Group (RMG) is an independent, centralized unit responsible for assessing and monitoring risks across Macquarie. This includes market and liquidity risk, credit risk, compliance risk and operational risk. RMG personnel liaise closely with all operating areas to ensure risks are understood and properly managed.Our Compliance Team currently have a requirement for a Head of Central Compliance. The main purpose of the role is to manage the Central Compliance Team and central policies and processes, as well as support our Business Compliance Officers (BCO’s) based with the business.Key Read more […]