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Compliance Manager for Hong Kong
Main Duties Establishing and implementing a compliance framework and function for the Bank’s, Hong Kong Branch in line with the guidelines of Head Quarter and local compliance requirements. Act as local compliance contact for HKMA. Monitoring Hong Kong Branch business activities, sales practices, documents and marketing material, and clients’ statements to ensure compliance with local regulatory requirements. Liaising with Compliance team in Singapore with regards to client on-boarding process such as account opening, sales practices, client/product suitability and ensuring that these practices 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 […]
Senior Compliance Manager – Global Bank
My client is a Global financial services firm and seeks a Senior Compliance Manager. Focus of this role will be to work closely with the Private Banking and Treasury arm of the group to create and maintain a compliance culture within the group. The aim is to provide long-term commercial benefits that flow from running the business ethically and not just for regulatory benefits. Your duties will include: Working closely with the Head of Compliance to create and maintain a compliance culture within the Bank by designing and implementing training programmes as well as training Design and implement Read more […]
Senior Compliance Officer (Investment Management)
Our client is a leading investment management firm with more than US$3 billion assets under management is looking to hire a dynamic and motivated Senior Compliance Officer reporting directly to the Head of Compliance for their Singapore office. Key responsibilities: · Assist in the monitoring of the investment and transactional activities of fund managers to ensure compliance with regulatory and client-mandated investment guidelines. · Designing and implementing compliance policies and procedures, investment compliance, compliance advisory to different investment Read more […]
Compliance
You will lead an audit team or participate in audit projects and be mainly responsible for the compliance and regulatory audit of the Bank’s businesses comprising a wide range of services and products. You will play advisory role as a subject matter expert in providing support to other audit teams on regulatory matters. The team will perform different types of audits such as global, thematic or business portfolio audits of the Bank’s Head Office Operations as well as its regional subsidiaries and overseas branches. You will plan, organize, execute and conclude on the internal audits including Read more […]
Head of Compliance, Leading Asset Management Firm
Our client is a leading asset management company with well-established business in the region. An outstanding opportunity has arisen for a senior Compliance candidate to take on a regional leadership role based in Hong Kong.Leading a team of 7-8 Compliance associates and looking after 4 locations, you will be responsible for:Providing compliance advices to senior management and the business on compliance issues and regulatory trendsMaintaining and enhance the compliance monitoring program, including investment restriction monitoring, trade compliance, and other compliance controls ensuring that Read more […]
Compliance Manager
300-people strong, and backed up the world’s largest insurer ranked by net premiums, we provide a range of pension and investment products and services in the UK and Ireland. Elevate, our Wrap Investment Platform, enables Independent Financial Advisors (IFAs) to manage clients’ portfolios online and allows them to see client investments wherever they need to see them. Technically strong, with in-depth and up-to-the-minute knowledge of relevant regulation and legislation, you’ll provide outstanding compliance advice for Elevate and other areas of our business (including large-scale, complex Read more […]
Financial Crime Compliance Manager
The successful candidate will assist in the development of globally consistent Financial Crime Compliance policy across the retail banking businesses, playing a large part in ensuring the highest compliance standards are upheld.As a key position within the bank the successful candidate will work closely with the global banking management teams, adding impact and gaining credibility quickly.The job will involve: * Supporting the Heads of Financial Crime Compliance in the provision of clear, concise and customer conscious advice and strategic guidance to the retail banking team * Developing financial Read more […]
Compliance Consultant
You are likely to be working in Regulatory Consulting and either still do or have worked for the FSA/FCA. Candidates will havethe following experience: – Provided audit and assurance services for firms regulated by the FCA – Have expertise in a designated specialism eg EMIR, AIFMD, MIFID II – Advised on all areas of regulation, in particular corporate governance, PRIN/APER, COBS, SYSC – An excellent understanding of FCA rules and regulations – Excellent communication skills, the ability to produce accurate audit reports, compliancemanuals, policies and procedures – A broad understanding Read more […]
Trainer- Compliance
A leading global bank is currently seeking a Trainer to ensure compliance regulation requirements are adhered to. You will design and deliver training solutions to meet a business requirement relating to a key remediation project within the bank. You will be required to identify and facilitate learning needs in order that the case handling teams can carry out their objectives, minimising business risk. You will then review the effectiveness of training solutions to improve design/ delivery. The successful candidate will have a strong background in compliance training, including solution Read more […]