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Global Head of Legal and Compliance
A financial services boutique with a number of different business lines is looking to hire a Head of Legal Compliance to head up the combined group functions.The business’ head-office is located in London, with offices in New York, Dubai and Hong Kong. It has grown into a ‘shadow banking’ operation with a number of product lines including structured products trading, a hedge fund, stock loan, security services and brokerage.The firm is now approximately 85 people globally and are looking to expand further through both organic growth and acquisitions over the next few years.They are looking Read more […]
Compliance & Internal Control Officer
To assist the Head of Compliance and Internal Control with the purpose of complying with the Regulator and Internal Control requirements and the controls gaps associates with the business activities.To participate in the assessment of the Internal Control System and to perform controls in order to preserve the reputation of the bank, to combat treat of money laundering and combating terrorist financing that might affect the bank.Compliance tasks:- As per the Head of Compliance requirements conduct on-going compliance reviews- Promote the employees’ awareness by providing Read more […]
Senior Compliance Officer
Senior Compliance Officer – Asset ManagementThe Compliance Officer Asset Management («COAM») is responsible for the Compliance Enabling activities in respect of the Asset Management («AM») business and for overseeing, identifying and driving AM’s compliance with Compliance related policies including compliance with applicable laws and regulations in respect of Compliance Risk.The opportunitySwiss Re is committed to operating its business in compliance with all applicable legal and regulatory requirements, the highest professional and ethical standards, and its stated corporate values. The Compliance Read more […]
Business Analyst (x2) &Project Manager (1) – AML/KYC, Financial Crime, Compliance, Client Due Diligence Change opportunities: Contract
Business Analysts – (x2)Will be required to work on the ‘data readiness’ work stream – the objective of this project is to clean up data to determine risk of a new customer and be able to determine one single view of customers.This will look at cleaning up and migrating customer data. Developing data strategies and analysing data sources which have been approved from Relationship Managers. To be considered for these requirements, applicants will demonstrate the following skills and experience:Financial Services experience: Retail Banking, Investment Banking, Commercial Banking and Private Read more […]
Compliance Manager III Job
Compliance Manager III (Job Number: 1311109)DescriptionManages compliance efforts for the Company as they relate to complex regulatory and policy requirements, program and project development. Analyzes existing and proposed legislation, regulatory announcements, and industry practices, and helps businesses develop and implement procedures to meet these requirements. Manages control process validation to ensure compliance with laws, rules and regulations. Partners with business unit managers to respond to reports issued by regulatory agencies or audit. May manage small team of Compliance Analysts. Read more […]
Hong Kong based Manager Compliance (Foreign Bank)
Job Purpose Core Responsibility:To support the Head – Compliance of the Branch to co-ordinate, monitor new regulatory requirements and analysing, preparing, and rolling out the revised policies, procedures, and process as per the Bank’s policies and procedures at Head Office as well as to meet with relevant regulatory requirements.To advise and support business groups / teams about any compliance issues from regulatory perspective.To review and provide inputs to credit proposals, PAC Notes and various polices (i.e. Credit policy, Asset and Liabilities policy etc.) in a timely manner.To help Read more […]
Head of Compliance, Corporate Banking
Responsibilities: Provide pro-active, timely advice on the relevant regulatory and firm policy requirements in respect of business queries, specific transactions and new product initiatives etcDevelop and maintain internal compliance policies and procedures reflecting regulatory changesAssist the business groups developing supervisory practicesPerform follow-up on regulatory responses and enquiries and communicate regulatory requirements and firm policy to the businessParticipate as required in department initiatives in respect of regulatory developments and impact analysis on the firms business Read more […]
Compliance Associate Director- Structured Products Advisory
A Tier One investment bank seeks an Associate Director / VP level Compliance Officer to join their team to focus on providing advice to the Retail Structured Products sales team. Main Duties In partnership with Equities and FICC Compliance Advisory teams, your role will be to provide advice and Compliance support to Structured Products Sales and Distribution Sales teams. Responsibilities:Establishment and ongoing development of the Structured Products Distribution Framework globally in relation to compliance within a domestic, regional and global context.�Implementing policy/procedures in relation Read more […]
Compliance Monitoring Officer
One of the top Global Investment Management firms in London seeks an AVP level Compliance Monitoring Officer to join their team in the City of London. The firm has an outstanding reputation and has assets under management that value in the trillions. You’d be joining a team that can not only provide career progression but also enormous opportunity to broaden your career horizons. As Compliance Monitoring Officer – your responsibilities would be:• Undertake detailed reviews in accordance with the monitoring programme to assess compliance with applicable rules and regulations; including Read more […]
Regional manager – Legal and Compliance
Job Duties:Execute internal control, compliance projects and legal matters assigned by the Group to the company’s Asia Pacific and to perform duties assigned by EVP -Compliance Control, Asia PacificImplement the recommendations and processes decided by the company’s Audit Department and the Risks and Compliance Department of the GroupEnsure the action plan of internal audit department of the firm and its entities are done within the prescribed period of the relevant action plan of the Group’s entities (being audited)Ensure that the company’s entities in AP has the correct registrations, Read more […]