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Compliance Division, Securities Division Compliance, Equities & Credit Compliance Officer, Associate/Vice President, Hong Kong(23352)
Job Summary Responsibilities Securities Division Compliance(SDC) – Equities Credit in Hong Kong provides compliance coverage and support to the Securities Division’s business units in Hong Kong and across the Asia Pacific Ex-Japan region. SDC also works closely with other firm departments, such as Legal, Controllers, Credit, Technology, Operations and Internal Audit. This is a trading floor-based compliance function providing real time support to the equities and credit businesses. The role also involves driving forward strategic business initiatives and projects. The Compliance function Read more […]
Compliance Advisory
One of the most highly recognisable and well-respected banking brands in the world is seeking to add a high calibre Compliance professional to its Wealth Management Compliance division. This is a great opportunity to join a company that invests greatly in ensuring the continual development of all members of their staff.As Compliance Advisory specialist, you will be charged with providing full time Compliance advisory support to the UK Wealth Management business. You will be expected to deal with any day-to-day queries that face the team, which can arise from a variety of topics such as COBS Read more […]
Compliance Advisor
A leading Private Bank with a global footprint and client base, require an exceptional compliance specialist to join their Compliance Advisory team. The team, are a pure business compliance advisory function, and so their key responsibility is to face off to the business, supporting Wealth managers and private Bankers offering regulatory advice. The business is fast paced in comparison to many other private banks, and their client base spans the globe and is varied both in risk profile and investment value. Due to this the bank has a very diverse product offering to meet its clients requirements. Read more […]
Head of Risk & Compliance
THE COMPANY: Our client is a well known Stockbroker THE RESPONSIBILITIES: Understand the nature and context of the risks which the firm as a regulated bank and stockbroker faces; Consider how these risks are currently controlled and makes recommendations for an appropriate control regime; Ensure that all relevant risks are considered using a risk based methodology; Ensure that all relevant risks have appropriate mitigating controls that are fit for purpose with regard to the firm’s organisational, customer and product risks; Ensure that the scope of the risk monitoring and of the transversal Read more […]
Wealth Management Compliance Branch Examiner
Position Description Morgan Stanley is seeking a strong candidate for its retail Branch Examination team. The individual will independently and effectively execute branch examinations of retail branch locations. Candidate will be expected to:- Conduct retail branch office inspections. The process includes obtaining background information, a physical inspection of the branch, a review of various reports and other documents maintained at the branch, interviewing financial advisors, support staff and branch management.- Test, assess, document and report on the adequacy and effectiveness of the control Read more […]
Compliance- Internal Audit/ Assurance
An excellent opportunity has become available for an experienced Internal Auditor to join the Wealth Division of a leading bank. You will deliver and coordinate AML assurance reviews, employing a range of investigative techniques. Responsibilities will include: executing thematic assurance reviews, identifying and articulating risks, writing and presenting reports, monitoring and reviewing outputs and assisting with ongoing development of the assurance framework. The successful candidate should have Internal Audit/ Assurance experience with a track record of delivery. An understanding Read more […]
Compliance – Compliance Monitoring Manager, Asset Management – AVP/VP
Position Profile The position requires a person who is enthusiastic, confident and has practical experience in performing asset management monitoring activities. The person’s background could be a compliance officer, Chartered Accountant, internal auditor, or regulatory examiner.Specific Responsibilities · Thorough and up to date understanding and practical experience of either buy-side or sell-side Fixed Income and Equity trading systems and processes, including programme trading, direct market access and algorithmic trading.· Work with the Compliance Advisory teams to ensure up to date and Read more […]
Futures Compliance Officer
Position Description Provide compliance coverage across multiple businesses for futures and cleared OTC derivatives activity. Conduct regulatory training. Interact and manage relationships with regulatory agencies. Create, implement and maintain policies and procedures. Provide oversight, strategic direction and compliance monitoring for exchange based and cleared activity. Assist with regulatory exams and investigations. Oversee completion and submission of multiple exchange membership applications. Provide front and back office guidance on compliance and regulatory requirements on a wide range Read more […]
Wealth Management Compliance Surveillance Analyst
Position Description The Wealth Management Regional Surveillance Analyst performs oversight of the Firm’s retail business. This is accomplished through the review of specialized exception reports, alerts, and reviews of branches’ actions on certain issues. The Regional Surveillance Analysts are responsible for the surveillance and oversight of: Mutual Funds, Options, Insurance Products, Structured Investments, Active Accounts and FA trending. Skills Required Bachelors Degree 1-3 years relevant work experience Possess a basic understanding of the financial services industry Strong interpersonal Read more […]
(Head of & AVP) Equities Compliance Officer – Investment Bank
Equities Compliance Officer (both HEAD OF and AVP position) are needed by a leading Investment Bank. This is a top tier Investment bank seeking to expand the team and specifically focusing on the Equities division’s wealth management. The team has a wealth of experience and talented individuals, renowned for their excellence within the bank and in industry. The main focus will be to provide advisory services to the retail structured products and OTC Equity Derivatives businesses in EMEA. HEAD OF RETAIL STRUCTURED PRODUCTS (RSP) OTC EQUITY DERIVATIVES responsibilities: Advisory services: providing Read more […]