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Compliance/Regulations Manager
Prepare or assist with the firms’ compliance monitoring programmes, ant-money laundering procedures, manuals, record-keeping, systems and controls, desk policies etc. in accordance with Group and regulatory obligations; Work with the Senior Director as the local interface with regulators managing correspondence and reporting requirements (FSA, MAS, FINMA, ASIC). Advisory – Review regulatory developments and assess impact to business strategy and provide appropriate analysis for business to accommodate regulatory changes. Conduct research to the businesses in relation to new products, services Read more […]
MARKETING COMPLIANCE MANAGER
Description: Our client, a leading asset manager is seeking a Global Marketing Compliance Manager to join their office in Edinburgh. The Global Marketing Compliance Manager supports the Head of Client Governance ensuring the firm maintains robust controls around the management of producing global marketing collateral to support the firm’s product range, ensuring that all material is considered clear, fair and not misleading and mitigating the risk of poor client outcomes. The successful candidate will be focussed on how the company embeds fair treatment of clients within its business with a focus Read more […]
Executive Director Clearing Compliance Risk Management
Description: The regulatory oversight of CME Clearing’s risk management activities includes independent review and validation of margin models on a regular basis. CME Clearing utilizes a variety of margin methodologies for a variety of cleared products. CME Clearing as a registered Derivatives Clearing Organization (“DCO”) is heavily regulated, particularly with respect to risk management activities. The Commodity Futures Trading Commission (“CFTC” or “Commission”) is the lead regulator for CME Clearing. CME Clearing is also subject to additional oversight activities of the United States Securities Read more […]
MNC IB, General Compliance, wealth management, 12 months
The CompanyOur client is a prestigious international investment bank who is currently looking for a compliance contractor for initially 12 months with potential of turning permanent. You will report into the head of compliance in HK.The Roleperform regular compliance testing to ensure that bank complies with all relevant securities regulations and in-house policies and procedures.perform daily and monthly trade surveillance review for wealth management and brokerage business; prepare summary of findings and review reports to Compliance Manager and Head of Compliance, WM, HK.review employee accounts Read more […]
Legal & Compliance Officer
An International Bank, currently with an expanding branch network in Australia, is seeking skilled energetic and highly motivated Legal Compliance Officer to join the Bank’s growing offices in Sydney. Candidates should possess appropriate tertiary qualifications with strong written and spoken communication skills in both English and Chinese. A competitive remuneration package will be offered for right skills and experiences. The primary function of this position is to assist the Business Unit Head of Legal and Compliance in the following areas: Ongoing development and maintenance of compliance Read more […]
Compliance Surveillance – VP
The primary function of this newly created role is to ensure that all surveillance activities are quality assured and that the framework that is developed is fit for purpose and best in class. The role requires someone with thorough knowledge of both Trade and Communications surveillance with the ability to review processes and procedures at a macro level. ResponsibilitiesTest the surveillance processes to ensure that are being adhered to Work with the surveillance managers to appropriately sample and report on alertsTake the lead in developing MI reporting Produce and deliver MI with KRI’s and Read more […]
SSgA Compliance Director, Vice President
Our CompanyState 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 $25.74 trillion in assets under custody and administration and $2.15 trillion in assets under management as of June 30, 2013, State Street operates globally in more than 100 geographic markets and employs 29,225 worldwide. For more information, visit State Street’s website at www.statestreet.com.Promoting a culture of excellenceWith more than 29,225 employees across 29 countries, Read more […]
Senior Equities Compliance Officer – Investment Bank
Senior Equities Compliance Officer is needed by a leading Investment Bank. This is a top tier Investment bank seeking to expand the team and specifically focusing on the Equities business. The team has a wealth of experience and talented individuals, renowned for their excellence within the bank and in industry. The main focus will be to provide advisory services to the Equity and Equity-linked Sales Trading businesses in EMEA. Senior Equities Compliance Officer’s responsibilities: Advisory services: providing to the business units and support control functions in relations to the interpretation Read more […]
SSgA Compliance Manager Sales & Marketing, Vice President
Our CompanyState 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 $25.42 trillion in assets under custody and administration and $2.18 trillion in assets under management at March 31, 2013, State Street operates globally in more than 100 geographic markets and employs 29,460 worldwide. For more information, visit State Street’s website at www.statestreet.com.Promoting a culture of excellenceWith more than 29,460 employees across 29 countries, Read more […]
Compliance officer (hedge fund) with at least 5-7 years of relevant experience for an International Hedge Fund Firm based in Hong Kong.
They are seeking a highly motivated and driven individual who has a superb understanding of the Hong Kong and US market to be part of a pioneering team to oversee all compliance matters for the firm. Reporting directly to the Head of Compliance based in Hong Kong and COO- Asia, the incumbent will be instrumental in handling all Hong Kong regulatory issues, dealing with the regulators, legal advisors, auditors and fulfilling SFC/ SEC requirements. He/she will also be responsible for the firm’s compliance control, policies and procedures and best practice in conducting securities business. Read more […]