Operations Support / Compliance Analyst recruitment
While Taiyo continues to be excited about and deeply committed to opportunities in Japan, we also see opportunities to take our successful model from Japan to the rest of Asia. Taiyo currently invests approximately $2bn in private and micro-cap to mid-cap public companies in Asia. We are seeking a Operations Support / Compliance Analyst to be based in our Kirkland, WA offices. Position Summary: The Operations Support / Compliance Analyst performs compliance monitoring, data analysis, and review and update of the firm’s written compliance procedures. Reporting to the Chief Compliance Officer Read more […]
Compliance Analyst recruitment
International Investment Bank with a growing Sydney office is seeking a strong junior compliance candidate to join their equities team.This role is primarily responsible for the advisory to the business and surveillance of the equities trading business. You will be monitoring trading and ensuring compliance with firm and regulatory policies. To be successful in this role you must have previous equities compliance monitoring experience gained within an institutional capacity. The ideal candidate will be familiar with SMARTs and be able to demonstrate solid relationship management and engagement Read more […]
Compliance Analyst recruitment
Key Responsibilities:• Assist with the development, communication and implementation of Compliance Procedures. • Undertake Compliance monitoring activities as stipulated in the monitoring programme and as required under the FSA rules. • Pro-active research, identification and assessment of changes in Compliance regulation and implementation thereof. • Prepare briefs and updates on emerging regulation. • Undertake reviews / assessments of compliance breaches. • Prepare and deliver quarterly awareness training on regulatory matters. • Responsible for the control and monitoring Read more […]
Compliance Analyst recruitment
The Area: With 150 employees, Morningstar Australia New Zealand has been providing independent investment research in Australia and New Zealand since 1999. We offer a broad range of products and services from mutual fund and equity data and research to software solutions and consulting.The Role: Morningstar Australasia require a detail driven and passionate Compliance Analyst to ensure the businesses within the Morningstar Australasia group meet their corporate governance, regulatory, and compliance obligations. The role will be part-time and the ideal candidate will be looking for a flexible Read more […]
Compliance Analyst recruitment
DFA’s Sydney Compliance team requires the support of an experienced compliance professional for a 6 month maternity leave cover. Your primary focus will be to support the ongoing development, implementation and maintenance of DFA’s compliance framework. The role will comprise a number of daily deliverables and projects. You will report to the Head of Compliance, your duties will include but are not limited to the following:Identification and analysis of all compliance obligations (existing and new)Monitoring regulatory and industry developments Ongoing development, implementation and Read more […]
Compliance Analyst recruitment
Fast-paced collaborative environment Exceptional Compensation and Benefits Package Autonomous position Our Client is looking for a high calibre candidate to join the Asia Pacific Compliance function. You will be a compliance generalist who is comfortable wearing many hats and promoting compliance with applicable regulatory requirements. Responsibilities include:Monitor trading activity, and analyse and compile data into meaningful summaries.Maintain accurate records and documentation to enable swift responses to queries.Investigate potential compliance issues with traders, IT or operational staff Read more […]
Compliance Analyst recruitment
Make your next career move with the Australian Office of Financial Management (AOFM). You will work with the control framework of the business and build your professional career with AOFM. AOFM is an Australian Government agency that issues government securities and manages financial investments for the government. The AOFM is a small agency where your contribution will be valued and rewarded. The AOFM provides generous assistance for work-related study and professional development.Role Overview: The Compliance Analyst works in the Compliance Unit within the Enterprise Risk Management, Legal Read more […]
Compliance Analyst recruitment
Overview:With more than 550 loans in Primary and Special Servicing, volumed at well over £25 billion and covering 11,000-plus properties in the United Kingdom and Continental Europe, we understand the European real estate loan servicing market in all of its detail, in all jurisdictions.From fully staffed offices in London and Frankfurt, we manage loans with assets and entities that cover Europe. From Scandinavia to Spain, France to the Czech Republic, it would be virtually impossible to find a corner of the continent that we are not conversant with. The fact is, we literally speak the language Read more […]
Compliance Analyst recruitment
In an ever-changing climate of rules and regulations, an individual in this role will: Work closely with the Firm’s Data Warehouse and Trading Developers to improve and automate the Firm’s existing suite of production and exception reports; Monitor the Firm’s activities to ensure consistency with regulatory requirements and the Firm’s policies procedures; Maintain the Firm’s Compliance Policies Procedures Manual including periodic revisions and amendments; Interface with the Firm’s Trading, IT, and Data Warehouse teams to identify and improve our risk and compliance Read more […]
Compliance Analyst recruitment
A well known top-tier bank is seeking a junior compliance professional to join their well respected team in a core compliance role. This is a broad role where you will have the opportunity to be responsible for a number of tasks covering advice, monitoring and training. Your core duties will involve; * Employee compliance * Licensing for Authorized Reps * Manage the framework that supports Responsible Managers, Responsible Executives and Responsible Officers for key regulatory authorities including ASIC, ASX and APRA * Oversee external Audits * Manage thecompliance risk management program and Read more […]