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International Wealth Management Compliance Officer
Position Description The position requires extensive knowledge of cross- border sales practice issues as they relate to a retail and ultra high net worth broker dealer.Primary responsibility will be to give advice regarding the marketing and sale of securities from the USA to clients located in non-US jurisdictions, with a concentration of clients from Latin America. This function will also include the development and implementation of surveillance systems, policies, procedures, and monitoring and testing involving trading and product development as related to non-resident clients.The successful Read more […]
PRIVATE WEALTH MANAGEMENT FINANCIAL ADVISER – NEW YORK CITY
PRIVATE WEALTH MANAGEMENT FINANCIAL ADVISER – NEW YORK CITY – LATIN AMERICAN CLIENT BASE30 year experienced US Broker Dealer, holding more than $1.5Billion in Assets under Management and with offices up and down the East Coast and in Texas is aggressively searching for Financial Advisors to help build out their Latin American Presence. Currently working with a strong team of Domestic Financial Advisors, the Head of Business Development is excited to add Financial advisors that will be tasked to bring the company’s Latin American presence to match their strong domestic coverage. Suitable candidates Read more […]
Marketing Analyst, Asset Wealth Management (Jacksonville, FL)
A Passion to Perform. It’s what drives us. More than a claim, this describes the way we do business. We compete to be the Global provider of financial services, balancing passion with precision to deliver superior solutions for our clients. This is made possible by our people: agile minds, able to see beyond the obvious and act effectively in an ever-changing global business landscape. As you’ll discover, our culture supports this. Diverse, international, and shaped by a variety of perspectives, we’re driven by a shared sense of purpose. At every level agile thinking is nurtured. Read more […]
Manager Financial Crime Compliance, AML Wealth Management
Manager Financial Crime Compliance, AML Wealth ManagementHSBC who we areWith over 7,200 offices in 85 countries, we are the leading international bank, delivering services and products to around 89 million customers worldwide. We combine extraordinary global reach with in-depth, hands-on local knowledge. That means we can provide people from different cultures and walks of life with the financial support they need. The support that helps them live the life they want.A world of opportunityHSBC is a global platform for careers. We currently employ well over 300,000 people around the world. Given Read more […]
Senior Compliance Manager, AML Wealth Management
A global banking group require a Senior Financial Crime Manager to join their Wealth Management Business. The bank are one of the most recognisable and well regarded brands in banking. They offer an exceptional working environment and are very compliance forward in their company culture The Wealth management AML team are an advisory function that support the business offering advisory across across all disciplines on AML, ABC, CTF Sanctions Issues. This role will lead a team in delivering high quality advice specific to this business unit. As a Senior Manager you will support the lead on Read more […]
Head of FX Advisory (Wealth Management)
Good knowledge and experience in FX and option products (those with previous sale/trading experience or FX structure background will have an added advantage)Preferably with FX margin product knowledge Able to converse in other Asian language will be an added advantageCandidates from bullion/brokerage houses with dealing experiences in previous metals or soft commodities as a leverage trading product are also welcome. At least 15 years’ experience in these fields Interested candidates, please email your complete resume, with current and expected salary details, in word document format, to Read more […]
Compliance SYD, Private Wealth Management (PWM), Vice President
Position Description Morgan Stanley Australia is currently hiring a seasoned professional to join their Private Wealth Management (PWM) compliance team as Vice President.The main focus of this key role is to assist the Country Head of Compliance for Australia with day-to-day compliance responsibilities in PWM businesses to manage regulatory risk and preserve the Firm’s franchise through assisting the local and off-shore regulated retail businesses to comply with, and monitor for compliance with, applicable laws, regulations, rules, internal policies and procedures, standards and industry best practices.Key Read more […]
Director of Compliance, Wealth Management*
Strong prudential management has been a key to Macquarie’s success over many years. The Risk Management Group is an independent, centralised unit responsible for assessing and monitoring risks across the Macquarie Group. The Compliance Division within Macquarie’s Risk Management Group provides compliance support and advice to Macquarie’s operating businesses. Compliance staff are aligned with Macquarie’s operating businesses, assisting those businesses globally to manage their compliance risks. These, together with a strong, committed team are key drivers of Macquarie’s success.Banking and Financial Read more […]
Compliance Analyst, Wealth Management
Strong prudential management has been a key to Macquarie’s success over many years. The Risk Management Group is an independent, centralised unit responsible for assessing and monitoring risks across the Macquarie Group. The Compliance Division within Macquarie’s Risk Management Group provides compliance support and advice to Macquarie’s operating businesses. Compliance staff are aligned with Macquarie’s operating businesses, assisting those businesses globally to manage their compliance risks. These, together with a strong, committed team are key drivers of Macquarie’s success.Banking and Financial Read more […]
Compliance Manager, Wealth Management
Strong prudential management has been a key to Macquarie’s success over many years. The Risk Management Group is an independent, centralised unit responsible for assessing and monitoring risks across the Macquarie Group. The Compliance Division within Macquarie’s Risk Management Group provides compliance support and advice to Macquarie’s operating businesses. Compliance staff are aligned with Macquarie’s operating businesses, assisting those businesses globally to manage their compliance risks. These, together with a strong, committed team are key drivers of Macquarie’s success.Banking and Financial Read more […]