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VP Compliance
Our client is a leading global Investment Bank who is looking to hire an experienced Operations/Operational Risk candidate who would like to move into the Compliance function. This position will give the successful candidate the ability to network and manage relationships with Global, Regional and Country level stakeholders. Key responsibilities include:-Engage with business operations to ensure the correct implementation of new rules and regulations.Manage a record of rules and regulations for the APAC Operations business.Implement testing procedures to ensure compliance policies are adhered Read more […]
Regional Investments Compliance Officer
The Investments Compliance Officer will have the following responsibilities: • Work with Regional partners, such as Regional Wealth Management, Regional Insurance, Investment Products Risk, Operations and Technology, Operational Risk, Legal and other functional groups to review new products and initiatives. • Provide Compliance support in reviewing investment products tabled at the Regional Product Approval Committees • Review country Wealth Management product programs, marketing materials and client documentation; proactively manage the Wealth Management Compliance function. • Develop Read more […]
VP-Compliance Audit
Applicant must be a mature and experienced professional who possesses excellent knowledge of regulation and compliance within wholesale banking businesses, good knowledge of financial instruments and products, and a strong understanding of internal control systems within a financial institution. This individual should be knowledgeable of wholesale banking products and related regulation, in particular within markets trading businesses and/or Treasury Services. In this role, the individual will be exposed to audits across the wholesale lines of business in addition to other operational support Read more […]
Compliance / Risk Management Executive
Our Company:Guotai Junan International Holdings Limited (Stock code: 1788) (the “Group”) was established in March 2010. It is a subsidiary of Guotai Junan Securities Company Limited, (“Guotai Junan”). Guotai Junan is one of the largest securities houses operating in the PRC, whilst our Group is operating in Hong Kong.Leveraging on the Group experience in the international capital market and a thorough understanding of the national intelligence of the PRC, we will uphold our service commitment of “Integrity, Client Focus, Expertise, Innovation” and deliver comprehensive and quality securities Read more […]
Compliance Mumbai – Compliance Surveillance Professional
Position Description Core Compliance Surveillance Professional – AnalystIndia Core Compliance (“ICC”) team is an extended arm of Asia Pacific Core Compliance (“APCC”) based in Hong Kong. APCC covers Corporate Disclosures and Licensing, Employee Trading, Trade Surveillance, Regulatory Inquiries, Content Delivery, and Policy Development.ICC is primarily responsible for performing Employee Trading Compliance for Asia Pacific and Trade Surveillance for various jurisdictions within the region to ensure compliance with laws, regulations, rules and internal policies and procedures.The incumbent will not Read more […]
Compliance/AML Officers- Private Banking ( 1 year contract)
Proactively assist the management in its prime responsibility of complying with relevant•review of clients’ profiles.Review the client adoption and Know Your clients policies/procedures, including the•staff training, client due diligence, client reviews and transaction monitoring.Ensure appropriate compliance arrangements are in place including compliance policies,regulations to ensure that the Bank is able to conduct its business within applicable laws,directives, rule and regulations, and in accordance with the Bank’s Group PolicyGeneral Role Description• Key Features of the Role•626/regulatory Read more […]
VP – Group Regulatory Compliance
VP – Group Regulatory Compliance – Retail Banking and Cards – LondonMy client, a global banking group, is seeking a VP-level Compliance Manager to join their team in London on a permanent basis. The successful candidate will be working with colleagues within the group centre to deliver compliance risk management processes to mitigate any regulatory financial risk. This is a very high profile role that will be dealing with Managing Director level stakeholders within the business and as such will be a very visible position. You will need the gravitas and communication skills to challenge and have Read more […]
Chief Operating Officer- Compliance
Role: Chief Operating Officer- Compliance Company: Large Investment Bank Salary: Top Bracket Salary Location: City of London Description: This Investment Bank is looking for a COO to report into the Global Head of compliance. The responsibilities will include budget responsibility for the whole of compliance with international oversight of regulatory enquiries and UK central compliance. The role will be focused on COO activities such as Business Management, Process Optimisation, Governance, Operational Risk/Audit Management and Programme/Project Management with experience across multiple-product Read more […]
Compliance Officer
The role holder will be responsible for monitoring compliance with the following key compliance risks – Market Abuse / Manipulation, Fair Dealings with Customers and Conflicts with a view to ensuring there has been no abuse of sensitive UBS information or UBS’s clients, that internal policies are complied with and helping to safeguard UBS’s reputation against legal and regulatory risks. Responsibilities include:Conduct and document monitoring reviews to assess compliance with and adherence to regulations and internal e-communication policies. Follow established global policies, procedures Read more […]
Compliance Manager, Asset Manager
The Group Compliance Department in London has two sub teams: (1) Investment Process Compliance Team (IPC); (2) Regulatory, Reporting and Monitoring Compliance Team (RRM)The key responsibilities of the Compliance Manager’s role in RRM are as designated from time to time by the Head of RRM, including but not limited to:Primary (two thirds):As a manager to be involved in and contribute to the tasks assigned to the RRM team. As directed this will include the following aspects of the compliance monitoring programme:taking a lead role in Read more […]