Head of Operations – Brokerage recruitment
Well Established BrokerageSenior Leadership Role with Wide ExposureExcellent Package and BenefitsOur client, a leading Brokerage firm with an established presence in Asia, is looking for a talented manager to lead their Operations Department in Hong Kong. With a wide range of products including equities, fixed income and futures as well as a well-rounded client base, this is an interesting opportunity to further your career.The successful candidate will be responsible for overseeing the Operations team including all aspects of investment operations and administration of retail unit trusts. In addition Read more […]
Client Service Manager, Dealer/Brokerage recruitment
The Company Our client is an established global bank The Role You will act as part of a team or as sole point of contact for all inquiries regarding collateral management and derivatives margin management for the brokerage client base. Responsible for the overall implementation of higher service levels and client satisfaction through coverage responsiveness, knowledge and automation. Resolves escalated issues and develop action plans to mitigate future occurrences. You will handle account reviews, regular activity analysis, problem investigation and resolution, cross selling initiatives, maintenance Read more […]
Compliance Manager, Brokerage recruitment
The Company Our client, an expanding international Brokerage company, currently seeking an exceptional Compliance Manager. This role sits within the Legal Compliance team and oversees the compliance management across the business. The Role Designing, enhancing and maintaining the compliance frameworks; Ensuring that the firm adheres to currently legislation surrounding compliance requirements; Participating in new product development; Liaising with the organization’s stakeholders on a regular basis and providing relevant advice regarding compliance issues; Maintaining the internal control Read more […]
Compliance Manager – Brokerage recruitment
The Company My Client, a leading global Brokerage is looking for talented individuals to fuel the exciting expansion plans. The Role Working within the Compliance Department of a Global brokerage firm you will be responsible for compliance oversight of regulatory issues within the group. The role is based in Singapore and involves providing assistance to the Head of Compliance – Asia. This role requires a sound understanding of the business undertaken in alternative investment with particular emphasis on the Singapore regulated entities, as well as a sound understanding of alternative investment Read more […]
Senior Compliance Manager, Brokerage recruitment
The Company This Global Financial Services firm is experiencing significant growth across their business in Asia. Thus, a senior and experienced Compliance position has become available. Ideally you will have a demonstrated background within financial services compliance together with ability to work autonomously to get the job done! Providing a good working environment and career opportunities for high calibre staff this is a rare opportunity. The Role Providing compliance advisory; Preparing and conducting in house training to new staff and on any changes to compliance rules and regulations; Read more […]
Compliance Monitoring – Brokerage recruitment
One of the worlds leading brokerages require a compliance professional to assist in the development of their Compliance Monitoring programme. This is an excellent opportunity for an experienced compliance professional to join a well respected and established business.The successful applicant will have the following responsibilities:• Developing the monitoring programme• Perform both desk based and thematic reviews• Investigate regulatory concerns on an ad-hoc basis, escalating issues where necessary.• Produce monitoring reports and make recommendations to the business, ensuring actions Read more […]
Finance Manager – Securities/Brokerage recruitment
Job Descriptions:• Report to CEO• Prepare full set of accounting, including consolidations.• Preparing monthly Returns on Financial Resources Rules reported to the Securities and Futures Commission and the Stock Exchange of Hong Kong• Responsible for the daily monitoring and reporting of the Liquid Capital according to the Financial Resources Rules (FRR)• Recording of daily accounting Entries, filing and data inputs• Prepare accounting schedules after month end closing• Perform ad hoc duties as requestedRequirement:• Qualified Accountant (e.g. ACCA, HKICPA)• University Read more […]
Compliance Monitoring Manager – Brokerage recruitment
One of the worlds leading brokerages require a compliance professional to assist in the development of their Compliance Monitoring programme. This is an excellent opportunity for an experienced compliance professional to join a well respected and established business.The successful applicant will have the following responsibilities:• Developing the monitoring programme • Perform both desk based and thematic reviews• Investigate regulatory concerns on an ad-hoc basis, escalating issues where necessary.• Produce monitoring reports and make recommendations to the business, ensuring actions Read more […]
Product Control Analyst, Brokerage recruitment
You will gain excellent exposure to all aspects of the business, work on a number of high profile projects and liaise with senior management.Responsibilities:- Produce daily PL across product lines (fixed income and debt based)- Deal with broker queries- Reconcile to general ledger accountsCandidate profile:- Experience within a fixed income / credit product control role- Excellent communication and interpersonal skills- Educated to degree level and ideally in possession of an accounting qualification and/or numerical/quantitative degree Read more […]
Compliance Assistant / Brokerage recruitment
Our client, International Brokerage Company is looking for a compliance assistant to join their compliance team. The individual would be assisting in providing guidance and support to the business, senior management and international offices.Duties Include:Assisting Head of Compliance in the day to day duties of the compliance departmentMonitoring of day to day calls Monitoring of current law and regulations with UK and GermanyOrder sourcing and running exception reportsFollowing trade flow from order through execution to trade bookingConducting on-boarding processes and KYC work for new clientsAbility Read more […]