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Director, Compliance (Futures & Options)
• Major Global Bank • Regional Role • Excellent Career Prospects Our client is a major global bank with significant presence across Asia Pacific. There is now an exciting opportunity for a dynamic individual to join its Singapore compliance team. This is an exciting business facing role where you will be responsible for effective and efficient management of the compliance risks associated with the Futures Options businesses in Asia, with a strong focus on advisory. You will ensure consistent adherence with the bank’s global compliance program, including transaction and program advice Read more […]
Regulatory Compliance Manager, Policy and Standards
Regulatory Compliance Manager, Policy and Standards Responsibilities Key risk management function for all aspects of Regulatory Compliance. proactive approach to the identification of Regulatory Compliance potential impacts on global Business Model Strong partnerships with the business to drive and accelerate the execution of Regulatory Compliance programmes Activities Develop best in practice standards, policies and procedures to govern Regulatory Compliance, Support the Regulatory Compliance Control team Assist the effective deployment of the Regulatory Compliance Assurance function. Profile Read more […]
Global Marketing Compliance Manager
Change Recruitment Group’s client is currently seeking a Global Compliance Marketing Manager.This rarely available opportunity for a Global Marketing Compliance Manager has arisen within a highly respected top tier fund management house based in Edinburgh.One of the most prominent and instantly recognisable names in global financial services our client has a presence in all key international markets.Our client operates a flat structure and the successful applicant will be given the opportunity to liaise and influence at Director Level.This well rounded role will see you :-Manage and conduct reviews Read more […]
Director, Fixed Income Compliance
Due to expansion, they are currently looking for a strong compliance individual with knowledge and experience in Fixed Income Products to join its existing Fixed Income Compliance Team. Reporting to the Senior Director of Fixed Income Compliance team, you are mainly responsible for liaising with regulatory bodies on various regulatory matters such as SFC, HKMA and HKEx rules including surveillance requests. You will design and implement trading surveillance programmed and prepare management reports on various compliance matters. There should be a continuing support on advising business units on Read more […]
Regulatory Compliance Manager
Our client, a Global Financial Institution is looking for a Regulatory Compliance Manager to provide guidance and advice on all aspects of regulation across private banking businesses globally. The individual would help to develop and maintain regulatory standards to enhance and protect the reputation of the firm. Duties include: Provide regulatory advice related to products, services and clients to address the risks associated with private banking businesses. Be responsible for all aspects of compliance, including implementation of best in practice standards, policies and procedures and the provision Read more […]
VP Fixed Income Compliance – Global Bank – 80
The CompanyOur client is a leading Global Banking group with a strong presence within the APAC region. They are an expanding business and currently have this exciting opportunity due to their continued commitment to compliance.The RoleReporting to the regional FI compliance head, your duties and responsibilities will include:Providing Compliance advisory services to the Fixed Income business unit.Ensuring that staff are updated regarding regulatory changes that may effect the business.The continuous update and improvement of policy and procedure within the business unit.Devising and providing training Read more […]
AVP Private Banking On-Boarding & Review Compliance
This KYC/AML role is designed to strengthen their on-boarding and client review functions and subsequently they are seeking experienced Private Banking Compliance professionals keen to further their career. Reporting to the Regional Head of Compliance based in Singapore, this position comes with excellent benefits, competitive remuneration and great career prospects. You will be required to ensure compliance risks are being addressed, assist in creating, implementing and updating policies and procedures whilst simultaneously ensuring they are in-line with local regulations and group policies. Read more […]
L-SLA-6046 Compliance Manager (Asset Management)
Our client focuses on providing a wide array of investment banking services including corporate finance, merger acquisitions, securities brokerage, asset management, general insurance, etc. They are looking for a Compliance Manager to join their Legal and Compliance Department. The ideal candidate should have at least 5 years of working experience in asset management firm and with experience in launching new products. L-SLA-6046 Compliance Manager (Asset Management) Job Responsibilities Advise business for fund set up and fund documentation Review fund distribution activities and approval of Read more […]
Senior Vice President Compliance, Monitoring
If you’re looking for a career that will unlock new opportunities, join HSBC and experience the possibilities. Whether you want a career that could take you to the top, or simply take you in an exciting new direction, HSBC offers opportunities, support and rewards that will take you further. Global Risk is a thriving and expert risk management function supporting HSBC globally with all aspects of risk management. The team actively manages a varied and dynamic range of risk types, including security, fraud, information security, contingency, geopolitical, operational, credit, pension, insurance, Read more […]
AVP Market Surveillance – Compliance
Market Abuse Surveillance You will: Analyze daily alerts raised by our in-house monitoring tool Cover the following markets: Hong Kong, Singapore, Taiwan, India and Australia Investigate the rationale of suspicious transactions with traders Report suspicious findings to Head of Monitoring Report monthly activity to Regional Head of Compliance, Compliance COO and Local Heads of Compliance Participate in UAT whenever enhancements are released Shareholding Disclosure You will: Monitor daily our shareholdings with an in-house tool Cover the following markets: all APAC Confirm positions with Read more […]