Compliance Associate / Manager recruitment
Requirements/Responsibilities: Knowledge of insider dealing related issues and restricted list/wall crossing issues; Advise on MNPILiaise with New York office on UK and Asia compliance developmentLiaise with the New York office in connection with implementing various firm-wide compliance initiatives.Liaise with outside compliance consultant and regulatory counsel in connection with compliance-related matters.Assist with organizing insider dealing and anti-money laundering trainings.Assist with compliance training new employees.Assist with drafting compliance policiesAdvise on and monitor and track Read more […]
Compliance Associate, Investment Banking recruitment
Hong Kong• Fast Pace Environment• Excellent Career AdvancementThe RoleReporting to the Compliance Manager, you will be fully responsible for:• Providing compliance advice and support to the banking group• Testing the adequacy of controls in place within the business and to identify potential and actual breaches• Managing the production, delivery and completion of compliance monitoring plans • Escalating any regulatory breaches to the business and recommending appropriate actions to rectify the problems• Providing assistance in the Compliance Risk Assessment process across different Read more […]
Compliance Associate – Insurance – Singapore recruitment
Scope of responsibilities:1. To plan, develop and manage Compliance initiatives to determine if the business units are compliant with Co and regulatory requirements, specifically:To review business units compliance procedures;To provide advice and guidance on all new products and business initiatives;To work with subject experts and resource when ensuring compliance; andTo provide consultation to business units on Compliance rules.2. To highlight to the HOD, any regulatory breaches or business risks because of non compliance or Improper market and business conduct.3. To maintain current Read more […]