Search Results
Compliance Policy Manager
You will be responsible for working with the Group Risk and Compliance functions to assist the UK Heads in meeting their regulatory requirements. This role sits within the 2nd Line of Defence, which comprises of the Group Risk and Compliance functions. Responsibilities Monitoring changes in regulation and performing impact analyses. Drafting / updating regulatory / compliance policies. Conducting simulated supervisory reviews of parts of the UK businesses. Identifying, assessing and governing compliance risk. Providing support to the Compliance Managers, Compliance Officers, Compliance Monitoring Read more […]
Compliance Manager
Key responsibilities include:- Review and implement changes in regulations that will impact the business. Advise business stakeholders on new regulations. Conduct risk assessments on a timely basis to ensure compliance to regulations are adhered to. Reporting of Compliance breeches for senior management. Analysis of root cause of Compliance issues. Maintain gift and training registers. Review information access requests. Prompt response and management of information requested by MAS. Ad hoc projects. To be successful in your application you will have at least 6 years experience in a banking compliance Read more […]
Compliance VP, Global Equities Long short Fund
Reporting to the regional head of compliance, you will be responsible for all compliance matters pertaining to the Singapore. This will includeLicensingEnsuring adherence by local employees to company compliance policies and developing local policiesMonitoring and SurveillanceMaking regulatory filings inSingaporeand coordinating with MAS Working closely with FinanceMarketing materials review for AsiaAML complianceCompliance trainingThis is an exciting opportunity for someone who is interested in an empowered role with exposure to the business as well as opportunity to take ownership of the Singapore Read more […]
VP/DIR, FICC Compliance, Global Investment Bank
Reporting to the regional head of compliance in the region, your team will be responsible for – Provide compliance support to the business and assist with regulatory and compliance issues relating to FICC business activities;Lead the compliance review of new transactions and new products;Develop and maintain compliance plans, policies and procedures Liaise with the relevant regulator and handling regulatory inquiriesManage the team in the monitoring and surveillance activities;Carry out ongoing assessment of the compliance framework operating within the business and ensure adequate controls are Read more […]
Compliance Associate | Market Surveillance | Hong Kong
A role as Compliance Associate – Transaction Surveillance with my client – a top-tier corporate and investment Bank based in Hong Kong, is available immediately.It is a great opportunity for candidates who are looking for challenging job assignments and greater career exposure to join a leading bank with extensive presence across the globe. My ideal candidate would have an excellent understanding of compliance policies and procedures, appropriate to a financial services environment. Other requirements for Compliance Associate – Transaction Surveillance include:Between 2 to 5 years of compliance Read more […]
Legal & Compliance Counsel (5-8 PQE)
The new lawyer will handle transactional as well as regulatory aspects of listings and other corporate finance matters, including cross-border PRC work. S/he will regularly liaise with senior management as to both progress on key projects as well as new developments on the compliance landscape. Beyond capital markets work, the new hire will participate in the broad range of legal work handled by the team, including but not limited to general corporate, general commercial, investment related and other compliance work.You will be Hong Kong qualified lawyer with a minimum of 5 and up to 8 years of Read more […]
Interim Compliance Monitoring Manager, Asset Management
Responsibilities: Manage a team of monitoring staff to ensure accurate and timely reporting of findings Undertake and deliver timely monitoring of the group’s investment management operations Review client files to ensure they meet audit purposes Assist with the compilation of management reports and report all issues to the appropriate parties Review and assist with other monitoring activities Requirements: You will be experienced in compliance monitoring Your background will be from a high net-worth/private client background, at the very least from the wider asset management sector Supervisory Read more […]
Company Compliance Officer (Vice President / Executive Director)
Position Description The Legal and Compliance Department’s UK Company Compliance Group, which is based in London, is charged with day-to-day oversight and coordination of core central compliance functions covering all businesses including Institutional Sales and Trading, Private Wealth Management Business, Investment Banking and Investment Management across the EMEA region. Primary responsibilities will involve providing compliance coverage for the Firm’s client assets and outsourcing processes. Additionally the candidate will be involved in day to day oversight of all aspects of the wider Company Read more […]
Senoir Manager, Compliance, Risk Management Group
Strong prudential management has been a key to Macquarie’s success over many years. The Risk Management Group is an independent, centralised unit responsible for assessing and monitoring risks across the Macquarie Group. The Compliance Division within Macquarie’s Risk Management Group provides compliance support and advice to Macquarie’s operating businesses. Compliance staff are aligned with Macquarie’s operating businesses, assisting those businesses globally to manage their compliance risks. These, together with a strong, committed team are key drivers of Macquarie’s success.Banking and Financial Read more […]
Compliance Officer, Compliance Macquarie Funds Group, Risk Management Group
Sydney location Advance your Funds Management Compliance careerAbout the role:Macquarie Funds Group (MFG) is Macquarie Group’s funds management business. MFG is a full-service asset manager, offering a diverse range of products including infrastructure and real asset management, securities investment management and fund and equity based solutions. The group had $A343 billion assets under management at 31 March 2013. MFG has been managing assets for pension funds, institutions and retail investors since 1980 in Australia and 1929 in the US (through a predecessor firm of Delaware Investments). MFG Read more […]