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Compliance Testing AVP
The Asset Management division of one of the world’s most prestigious Banking groups, requires a Compliance Testing Manager (AVP Level) to join their team. The Company: The firm provides a full suite of investment products and services across all asset classes: Equity, Fixed Income, Cash Liquidity, FX, Real Estate, Infrastructure, Hedge Funds and Private Equity. These strategies are provided to clients through Private Funds, Mutual Funds or separate account mandates. The Compliance Testing Analyst position requires a person who is enthusiastic, confident and has practical experience in performing Read more […]
Technology Product Manager, Director, Compliance, Corporate Governance, Web-Based Technology, Strategy, Relationship Management, Hong Kong
Technology Product Manager, Director, Compliance, Corporate Governance, Web-Based Technology, Strategy, Relationship Management, 80-85,000 HKD per annum, Hong KongA fantastic opportunity to work for one of the world’s leading independent corporate governance and compliance firms as the Technology Product Manager (Director). The role will predominately involve driving the products’ position in the market, whilst helping to grow additional product revenue streams. The role will involve:Product management – owning the development roadmap, aiming to have a strong foothold as market leader over Read more […]
Project Manager/ Business Analyst-Compliance Technology-Investment Bank
Tier 1 Investment Bank seeks experienced BA/ PM to join Compliance TechnologySeasoned, technical project manager/ business analyst required to join Global and High Profile Team-providing Technology solutions to the Compliance business function.You will have excellent product knowledge-ideally in;EquitiesSwaps and FuturesAnd ideally will have previous experience in Compliance. Your main responsibilities will include:Identifying the key stakeholders and establishing the project governanceIdentifying the issues to be addressedLiaising with the various business units and support departments to determine Read more […]
Head of Compliance
Our client, a leading financial institution is looking for a Head of Compliance to provide advice, guidance and support to their corporate banking retail banking business. The individual would help to mitigate regulatory risks to protect and enhance the reputation of the firm.Duties Include:·Provide overall leadership and strategic direction in compliance across the business.·Provide regulatory input and advice in the development of new products and services·Assist the business and support functions to deliver strategic priorities within an increasing regulatory framework.·Report directly Read more […]
Compliance Mumbai – Compliance Surveillance Professional
Position Description Core Compliance Surveillance Professional – ManagerIndia 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 Zhuhai, Morgan Stanley Bank International China (MSBIC), Analyst/Associate
Position Description Morgan Stanley Bank International China (MSBIC) is currently looking for an industry professional to join their China Compliance team at Associate level. Candidates with more experience will be considered at Associate level.Based in Zhuhai (ZH) and reporting to MSBIC Head of Compliance, this role will be responsible for these core responsibilities:- Anti-Money Laundering (AML). Identify risk areas or conduct independent KYC compliance reviews and monitoring under management guidance. Be the key contact person with regulators regarding AML issues. Responsible for regular internal Read more […]
Lead Compliance Coverage Officer for US Finance
Position Description Lead compliance coverage officer for U.S. Finance Division. Report to global compliance coverage head for Operations, Finance and Technology Divisions. Primary coverage areas include:• Customer protection-related processes for Morgan Stanley’s U.S. institutional and retail broker-dealers, including regulatory reporting (e.g. FOCUS), net capital requirements under Securities Exchange Act (SEA) Rule 15c3-1, and customer reserve formula under SEA Rule 15c3-3 • Coverage of regulator exams • Prepare and present biannual supervisory control process report • Continue to develop Read more […]
Compliance Beijing, Morgan Stanley Bank International China Ltd, Beijing Branch, Manager/Director
Position Description Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm’s employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in 43 countries.With rapid growth of our business developments in China, Morgan Stanley Bank International China Ltd. (MSBIC) Beijing (BJ) Branch is currently looking for an experienced professional to join their China Compliance team at Manager / Director level.Based in Beijing and Read more […]
Institutional Equity Division (IED) Compliance Officer
Position Description Provide Compliance support for equity sales and trading desks, as well as support functions: IT, Risk, Operations, controllers, finance Provide advisory support to traders, sales traders, supervisors, Risk and IT on regulatory rules: Reg NMS, Reg SHO, OATS, Rule 5320, trade reporting, Rule 605/606, riskless principalCommunicate with traders and supervisors to assess risk and re mediate issues Assist in the design and maintenance of written supervisory proceduresAssist in regulatory reviews, including inquiries, audits and examsDesign and deliver applicable training for business Read more […]
Compliance Coverage Officer
Position Description This position will focus on Foreign Exchange and Emerging Markets, including corporate and government bonds and certain credit derivatives. This role will also provide ancillary coverage support for U.S. Government and Agency trading desks.Coverage responsibilities include providing advice to the Business Unit on product, counterparty and cross-border sales and trading issues. The coverage officer will participate in risk assessments and new product proposals and in addition will conduct periodic testing and training for covered desks. Skills Required 5-10 years of experience Read more […]