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Compliance Adviser
The ideal candidate will have an understanding of stockbroking markets, equities and ASIC regulations. This unique opportunity will provide a chance to work within a fun, fast-paced environment whilst furthering and advancing your career.Sydney CBD: $70 000 -$85 000 base + superRole Responsibilities;Provided advice and support to the broader business on Compliance mattersSupport the drafting and reviewing of Compliance policies and procedures.Provide compliance monitoring, analysis and feedbackSupply regular reports to managementProviding Compliance training, educate employees and promote compliance Read more […]
LEGAL & COMPLIANCE
Our client is an asset management firm, with their expansion, they are looking for an outstanding candidate to join them. Perform compliance checking and review on investment products. Provide advisory services to business units on compliance related matters for those investment products. Liaise with SFC and other local authorities. Review and update procedure manuals and ensure the processes are in compliance with regulatory guidelines and internal policies. To qualify, you should have a an Accounting, Finance Degree or LLB with legal and compliance background with a minimum of 3 years of legal Read more […]
Compliance Zhuhai, Morgan Stanley Bank International China (MSBIC), Manager / Director
Position Description Morgan Stanley Bank International China (MSBIC) is currently looking for an industry professional to join their China Compliance team at Manager level. Candidates with more experience will be considered at Director (below VP) level.Based in MSBIC’s Head Office in Zhuhai and reporting to MSBIC Head of Compliance, this role will be responsible for these core responsibilities:- Anti-Money Laundering (AML). Identify risk areas or conduct independent KYC compliance reviews and monitoring under management guidance. Be the key contact person with regulators regarding AML issues. Responsible Read more […]
Senior Compliance Lead – Executive Director
Responsibilities of the role: Conduct full compliance initiative for the Futures and Options business utilizing resources without direct management Carry out regulatory risk assessment for key business areas collaborating with compliance officers Adherence to the global compliance programme lead by head office and gaining ‘buy in’ from key business users across APAC Deploy control risk assessment processes in accordance with country specific regulations and laws Update policies and procedures internally and rolling out to the business Requirements of the Role: At least 8 years’ experience Read more […]
UK & European Compliance Director
As compliance/AML lead for the European operations, you’ll be responsible for a wide variety of regulatory compliance matters supporting the growing business. In particular, in this role, working closely with the group legal team, you will help manage its compliance with the payments-related regulatory requirements, including anti-money laundering and related issues. Your position will also be broad enough to take on some risk management responsibilities and other control responsibilities. Our client is both a technology company and a financial services company, and you will need to be comfortable Read more […]
Wealth Management Compliance (CONTRACT)
I am particularly looking to hear from candidates with a strong awareness of regulatory impacts on the wealth industry such as COBS, RDR and TCF. If you have a background in wealth management/private banking compliance either generalist, monitoring or advisory then please do call me to discuss the opportunities or send your CV to emma.finch@bruinfinancial.com
Compliance Manager
Working for a Private Client Investment Management firm in the city, my client is looking for a Compliance Project specialist who can cover conflicts of interest, monitoring policy and advisory based work. On going contract role – reporting to CF10 but within a team of 10 £400- 500 per dayHays 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 […]
Senior Advisory Compliance
Job Title: Senior Compliance Manager – Advisory Position As a result of our growth and a continued commitment to driving a successful business, we are looking to grow our Compliance Risk function. The role will involve a variety of day to day general compliance duties relevant to a retail fund management business, specifically concentrating on the provision of compliance advisory support to the various business units. Job Functions Provide clear, reliable and consistent advice on any compliance issues arising in the Business Provide advice and input in to compliance issues relating to the launch Read more […]
Compliance Vice President – Investment Banking – London
Compliance Vice President is needed by a leading Investment Bank. This is a top tier Investment bank seeking to expand a newly created Operations function within the Compliance department; specifically focusing on Operations Division within the Bank. As this is a new function in the Compliance department, you will have the opportunity to influence the direction of the department and business. You will be instrument to any changes and requirements that are required by the business with regards to Operations business areas across various products and services. The Compliance Manager’s responsibilities Read more […]
AVP- Compliance Testing & Quality Assurance
Responsibilities: • Complete and document QA and ComplianceTesting work. Make recommendations for improving processes across the global Compliance function • Assist the execution of the global end to end process for the roll out of the annual Compliance QA and Compliance Program • Work closely with the global team to execute coordinated QA and Compliance Testing amongst the three regional businesses • Assist with the continuous improvement of the QA and Conformance Testing Program from both an Read more […]