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Director, AML Compliance, Banking Group
The Company One of the largest banking groups, with over 5000 employees in HK, over million employees in Greater China region. This is a new headcount reporting into Group Head of Compliance, managing large team of AML professionals in advisory, transaction monitoring and AML projects. This person will be a key hire to the bank, with exposure into different business lines including retail commercial banking, corporate banking investment banking, and private banking. The Role As one of the key compliance members on the team, you will be reporting to Group Head of Compliance, responsible Read more […]
Head of Compliance, HK, Wholesale Banking (1-1.5mill base)
The Company Our client is one of the leading organizations with over 37,000 employees across retail, business and institutional banking, funds management, investment and broking business, with strong presence in Hong Kong and Asia. The Role As a part of the senior management team, you will be reporting to Head of Compliance Asia, handling all rounded compliance duties for their wholesale banking, private banking and global markets businesses, responsible for risk based compliance review, new products approval, AML checking and approvals, development and implementation of new regulations, as well Read more […]
Regional Head of Legal & Compliance
Our client is one of the long-established European banks with a prominent and well-recognized presence in the APAC region. A rare and exciting opportunity has arisen for an experienced Head of Legal Compliance to look after a team of Legal and Compliance professionals in the APAC region The Role Reporting to the Global Head of Compliance, you will be fully responsible for: Managing a HK based legal and compliance team that has both local and regional accountabilities Providing assurance and risk reporting to the Senior Management to ensure all parameters and regulatory standards are Read more […]
Senior Compliance Manager
Our client is well-recognized asset management firm who offers professional investment management expertise through international funds. They are seeking a seasoned Compliance Manager to join their team. The position will be based in Hong Kong. The Role Reporting to the Chief Compliance Officer, you will be fully responsible for: Establishing a comprehensive compliance monitoring program for the business Overseeing the design, implementation and maintenance of the company’s compliance procedures manual and monitoring program Handling and advising cross-border regulatory matters (e.g. AIFMD, FATCA Read more […]
Senior Compliance Advisory officer
The Asset Management arm of this Global Banking Group is looking for a Senior Compliance Manager to join the Compliance Advisory team based in London on a 12 month contract paying around £300-380/day. Responsibilities include but are not limited to: *Providing guidance and advice to the business on compliance matters, especially Systems Controls, Operations and Client Money *Ensuring that adequate controls are in place so that all areas of the business are compliant to internal and external regulations *Reporting and escalating any significant issues *Building strong relationships across the Read more […]
Compliance Associate / Sales Supervisor
The candidate should have excellent problem solving skills and have the ability to demonstrate flexibility and adaptability to a constantly changing environment. Candidate will assist with policies, procedures and guidelines of regulatory standards applicable to the company, including implementation and maintenance of supervisory and control procedures. RESPONSIBILITIES/DUTIES: REGISTRATION Update CRD as needed, state licensing for AG and RA, disclosures, new hires, U5, branches, fingerprinting; reconcile with state individual licensing issues; exam requests; annual Registration Renewals; Read more […]
Business Analyst – Financial Crime Compliance: AML, KYC, CDD or Transaction Monitoring – Top Tier Investment Bank
To be successful for these roles, applicants must be able to demonstrate the following practical experience: Structured Business Analysis experience – requirement gathering, documentation, “as-is”/”to-be”, UAT A good understanding of financial Crime Change – AML, KYC, Transaction Monitoring, Client Due Diligence or Financial Crime control. For more information, feel free to contact me on Kam.Bamrah@alexanderash.com. To be kept in the loop of other, similar Change and Transformation (Contract) roles – lets connect on LinkedIn: uk.linkedin.com/in/kambamrah/ – we work for leading Investment Read more […]
SVP, Compliance , KYC & AML Auditor (Internal Audit)
Responsibilities: Develops and executes a robust Audit Plan, by reviewable entity, for assigned businesses in accordance with Internal Audit standards, relevant government statutes and regulations and Citigroup and Citibank policies. Delivers on time high quality audit reports, Internal Audit and Regulatory issue validation and (where appropriate, branch examinations, as well as business monitoring and governance committee reporting. Directs complex audit activities for a component of a product line, function, or legal entity at the regional or country level including a portion of the audit annual Read more […]
Compliance Mgr I Job
Compliance Mgr I (Job Number: 1314373)DescriptionCompliance Manager I – 23610Manages compliance efforts for the Company as they relate to complex regulatory and policy requirements, program and project development. Analyzes and identifies existing and proposed legislation, regulatory announcements, and industry practices, and helps businesses develop and implement procedures to meet these requirements. Strong understanding of banking or brokerage products and services, including applicable AML/KYC and USA PATRIOT Act requirements. Manages control process validation to ensure compliance with laws, Read more […]
Compliance Associate
A city based hedge fund is looking to hire compliance associate to join their business. They are looking for someone with about 3-5 years’ experience in a compliance role in an investment bank, broker dealer or hedge fund. The role will involve working in a team of 3 people with whom you will have a great opportunity to learn form. The fund in continuing to grow rapidly and international expansion is planned for the US and Asia meaning you will have the opportunity to work with different regulators and travel internationally. As the role will be broad and will include elements of policy, advisory, Read more […]