Snr Compliance Manager – research – brokerage – Securities Firm recruitment
Duties: Provide support to the business on regulatory compliance matters, raising issues to Senior Management and implementing corrective action plans, in particular to brokerage and investment banking businesses;Participate in new product development and ensure that new products conform to regulatory and internal compliance policies;Monitor new account opening procedure KYC review;Review policies and procedures prepared by other departments and provide input to ensure compliance with applicable legal and regulatory requirements;Advise management and business units on all compliance-related Read more […]
BROKERAGE/EQUITY DERIVATIVES/LISTED & OTC/TRADE ASSISTANT recruitment
Our client is a Leading Brokerage focusing on Equity Derivative products covering Global Markets. Their clients include a number of Top Tier Investment banks and they are now looking for a proactive candidate to join as a Trader Assistant who will gain maximum market exposure. Responsibilities: – Back and Middle Office functions- Advertising prices to the market- Confirming the trades with clients- Liaising with the back and middle office of a number of Investment Banks Requirements:- 2-4 years finance experience- Expertise in listed and OTC derivatives- Familiarity with Swapswire and Asia exchange Read more […]