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Director, Operational Risk & Compliance, WRAP / Super
Director, Operational Risk Compliance, WRAP / SuperBig4 risk advisory / Financial Services experience High profile opportunity to advance your career Shelley Street locationDue to an internal move we are currently recruiting a Director level specialist to join our central Risk Management Group with a focus on the WRAP / Super product portfolio of our retail financial services (BFS) business. About the rolekey responsibilities will include:Management and accountability for the WRAP/Super platform’s operational and compliance risk framework Developing operational risk frameworks, driving a strong Read more […]
Compliance Director, OTC Derivatives
Assist the Vice President, OTC Derivatives, in building a structure to enable the firm to carry out its regulatory programs for Swaps Members including: • Developing programs and procedures necessary to review swap dealer and major swap participant applicants’ compliance with requirements pursuant to Section 4s of the Commodity Exchange Act. • Developing programs and procedures necessary to conduct examinations of Swap Members. • Hiring and training staff. • Monitor the department’s progress in implementing the structure and programs for regulating the firm’s Swaps Members and ensure Read more […]
Hedge Fund Compliance Attorney
The Compliance Officer is primarily responsible for day-to-day implementation and maintenance of compliance program including, among other things, the development of compliance policies, procedures and processes, conducting the risk assessment analysis, supervising portfolio compliance and other compliance testing, reviewing marketing materials, and reviewing and analyzing applicable laws and regulations for impact on the firm’s compliance monitoring function. Key responsibilities include: • Assist in the development, implementation and maintenance of compliance policies, procedures and processes. • Read more […]
Compliance, Audit and Risk Specialist
Other duties include, but not limited to: • Liaising with outside auditors engaged to support the firm’s internal audit, control assessment and other engagements • Ensuring timely, accurate and on-budget completion of internal audit engagements • Tracking and closure of open audit recommendations • Creation of board and management reporting materials • Coordination of risk management efforts with a focus on driving operational risk improvements • Tracking and analysis of incident reports and errors • Maintenance of firm risk management assessment matrices • Tracking of open risk Read more […]
Compliance Manager/Assistant Manager
The Job : Identify and evaluate compliance risks of the operations and business activities of the respective business unit, provide day to day regulatory advice and guidance on rules and internal policies and its latest updates, ensure the business unit in compliance with the law, rules and regulationsReview business processes and new initiatives put forward by the business units to ensure compliance with regulatory requirementsPartner with other Compliance and Legal teams on assessing and measuring compliance and related risks, and developing common standards and practices.Conduct monitoring activities Read more […]
Senior Compliance Manager (Singapore)
Key duties and responsibilities: Providing Compliance support to the Equity Corporate Finance, Capital Markets and Research businesses,Providing Compliance support to the Equity Corporate Finance, Capital Markets and Research businesses:•Implement appropriate compliance infrastructure and controls •Perform risk assessments, and provide efficient and practical advice •Pro-active risk identification of regulatory changes or business developments •Development and maintenance of compliance policies and procedures •Provide advice on new product and new business structures •Supervision Read more […]
Operational Risk and Compliance Manager
Our client is looking for an experienced operational risk and compliance professional to join their organisation and work closely with the General Legal Counsel to implement a robust operational risk framework that is fully compliant with APRA regulations. This individual will work very closely with the business units to identify the existing risk procedures, critically assess these, and manipulate and adapt these to build a business wide operational risk framework. Evidence of APRA knowledge and prudential regulations is essential in this role.The key responsibilities:Designing and implementing Read more […]
Compliance Manager, Auckland
Company The Western Union Company is a NYSE-Traded Fortune 500 Company and a leader in global payment services, with a 160 year history of connecting friends, family and businesses around the world. With our roots in the telegram business, we were first to offer electronic money transfer services in 1871. Western Union is the single largest player in a huge flow of resources – a transfer of billions of dollars every year that touches one sixth of the world’s population. We’re a force for economic growth, a mainstay for emerging nations, and a growing, profitable business. We offer the freedom Read more […]
Assitant Vice President, Business Analyst, Markit WSO Compliance
– Interpret legal documentation and translate the language into reports and calculations applied to financial reporting models p- Utilize proprietary report-building interface to configure models per client specific environment and structure terms p- Manage a client base: Understand each client’s unique reporting needs and processes; partner with them to grow the relationship p- Mine data quickly to proof complex calculations p- Project management skills: Scope project requirements, appropriately manage client expectations, collaborate with other team members to ensure quick turnaround and accurate Read more […]
Compliance Officer
Global Commodity firm hiring for compliance officerRESPONSIBILITIES1. Ensuring that Business Activity is conducted in accordance with Group Compliance Guidelines.2. Maintaining existing internal controls and liaising with relevant teams to adapt procedures to enhance internal controls as and where required.3. Providing Compliance guidance and support to management, traders, risk managers and operators. This would include dealing with Compliance related queries as and when they arise.4. Provide training on the Group’s compliance policies, procedures requirements.5. Performing Know Your Customer Read more […]