Senior Compliance Manager, Wealth Management recruitment
Key Responsibilities
- Liaise with Front office and the business to provide real-time trade approvals and position information including extensive liaison with senior management, regulators, internal auditors and major stakeholders
- Provide Compliance advice to the Business and Support functions on applicable internal policies, law and regulations
- Assist in licensing applications including preparation of necessary documentations
- Develop training materials and provide input on Compliance topics
- Participate in ad-hoc projects as the Compliance representative e.g. compiling feedback from other members of the Compliance department and also from Legal
- Draft policies, processes and guidance notes relating to ensure compliance with applicable laws and regulations
Requirements
- Prior work experience in private banking preferred
- Proven broad regulatory experience within a multi-disciplinary regulated firm
- Firm knowledge of equities and derivatives products
- Solid communication interpersonal skills
If you are interested in the position, please apply by submitting your CV to roy.spencer@gulfconnexions.com. For any initial enquiries contact Roy Spencer on 3180 9660. Please note that only shortlisted applicants will be contacted.