Compliance Advisory – Asset Management recruitment
Compliance Advisory Officer required by a leading Asset Manager based in London.This role is to provide compliance advisory services within the Asset Management division of this global financial institution. You will work closely with business partners, Legal and Compliance colleagues in connection with client and prospective client due diligence, new offering compliance reviews, review and evaluation of new Instruments, preparation of client certifications, and the development of enhanced surveillance tools.Duties Include:Attend and participate in client and prospective client due diligence Read more […]
Compliance Advisory, Private Banking recruitment
Compliance Advisory Private Banking A successful Private Bank enjoying expansion in the region is looking for a Compliance Advisor to support the Head of Compliance, Private Banking in Singapore. The candidate to win this role will be responsible for: Implementing AML and CDD procedures across the bank Managing an reporting Regulatory Risk and Financial Crime Develop and maintain policies and procedures Report to management on key regulatory risk Maintain relationship with MAS and other key regulators The successful candidate will have the following experience Read more […]
Compliance Advisory / Retail Banking (6 months contract) recruitment
Our client, a leading international bank is looking for a Retail Banking Compliance Adviser to provide advice, guidance and support to the business in all aspects of their retail banking business. The individual would help to ensure and maintain high regulatory standards to enhance and protect the reputation of the firm.Duties Include: • Ensure that the business is conducted in line with industry good practice and that is operates to high regulatory and compliance standards. • Liaise with and provide guidance to Senior Management. • Keep management informed of regulatory changes Read more […]
Compliance Advisory – Alternatives recruitment
Key responsibilities/ elements of role will depend on the individual, and the role is highly flexible, but it may include:Working in partnership with the various business areas to provide timely and proactive regulatory advice on day to day issues.Working on business lead and/or compliance focused projects, including for example business initiatives, compliance monitoring projects and new regulation. This can include working as part of a larger working party or a small focus group to achieve a project goal.Assisting with new product initiatives and taking responsibility for providing regulatory Read more […]
RISK – Compliance Officer (Fixed Income) – Compliance Advisory – Associate / AVP recruitment
About Deutsche Bank A Passion to Perform. It’s what drives us. More than a claim, this describes the way we do business. We’re committed to being the best financial services provider in the world, 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 different perspectives, we’re driven by a shared sense of purpose. At Read more […]
Compliance Advisory – Regulatory Development VP recruitment
Key Responsibilities:Provide support and input to co-ordination of Compliance activities relating to regulatory developments in Europe, including initiatives arising from European central supervisory bodies and national regulators.Provide effective and proactive support to regulatory policy agenda co-ordinating with the EMEA Government Relations and Public Policy team, including analysis of emerging and new regulation, input to submissions made to European supervisory bodies, trade associations and other stakeholders.Engagement with business areas and support functions to implement regulatory change Read more […]
Compliance Advisory – Corporate Finance recruitment
Core Responsibilities: • Regulatory requirements in respect of transactions undertaken by Corporate Finance.• Regulatory requirements in respect of the Corporate Finance business.• Controls over confidential and inside information.• Reputational risk.• Resolution and management of conflicts of interest.• Chinese walls and wall crossings.• Drafting of policies and procedures for both the Compliance team and for the business lines.Specialist Advisory Knowledge:• Relevant FSA Conduct of Business Rules.• UK Listing Rules.• UK Takeover Panel Rules.• New Product Approval Read more […]
Compliance Advisory- Assistant General Manager–Investment Bank recruitment
The successful candidate will provide pro-active regulatory advisory services to the corporate markets business area to help them manage, and support them in the adherence to, all established Compliance policies and procedures. This will include the provision of regulatory advice and guidance, encompassing risk identification and mitigation. You will direct the development of a business-focused compliance strategy and provide advice in order to facilitate the development of new products and services. In addition, you will assume responsibility for the initiation and management of a wide range of Read more […]
Compliance Advisory / Life Insurance recruitment
About Our ClientOur client is one of the world’s leading Insurance companies who has a track record of more than 80 years. They are regarded as a strong, trusted brand and one of the top life insurance companies in the region. Currently they are looking for an Assistant Manager within the Advisory Compliance team.Job DescriptionAs an assistant Manager, you will join the Advisory Compliance team and your role will be :To plan, develop and manage the Compliance initiatives to determine if the business units are compliant with the Internal policies and the Regulatory requirements;To review the procedures Read more […]