Compliance Manager, Private Bank recruitment
Compliance Manager, Private BankingA fantastic opportunity has arisen to join this leading bank as a Compliance Manager within its established Private Banking team!Our client has a strong presence internationally and has been well-established in the banking industry in Hong Kong. Due to sustained growth and expansion plans, they are currently looking for a Compliance Manager to supervise a small team of compliance staffs in the Private Banking division.RESPONSIBILITIESReview and comment on a wide range of policies and procedures, new product proposal, marketing materials to ensure these are all Read more […]
Compliance Manager, Insurance recruitment
If you have the following skills and experience then this may be a great opportunity for you to join a dynamic team:4+ years of relevant Insurance Compliance experience;In-depth knowledge of applicable laws and regulations in insurance field;Strong business sense with good organizational skills;Good command of negotiation and interpersonal skills;Able to work independently with good analytical skill and the ability to provide sound and practical advice;The primary responsibilities for this role will be to provide compliant solutions and advice to the Company on daily business operations and assess Read more […]
Compliance Manager, FID Compliance Group recruitment
Position Category: Legal/CompliancePosition Title: Compliance Manager, FID Compliance GroupJob Level: ManagerLocation: USA – NY – New YorkEducation Required: Refer to Position DescriptionPosition Description:Compliance Manager, FID Compliance GroupDUTIESMorgan Stanley Co. LLC seeks Compliance Manager, FID Compliance Group in New York, NY to review NSARs and provide comments to the MSIM Legal department on any change in fund strategies. Prepare responses for monthly and quarterly client certifications that are sent out to MSIM clients. Conduct daily surveillance of over 81 fixed income separately Read more […]
Compliance Manager – Financial Services – Sydney CBD recruitment
An exciting opportunity for an experienced Compliance Manager to join a leading global financial institution in Sydney CBD.Key focuses of the role include, but are not limited to:*Enhancement of the Group Compliance Plan, policies, and procedures.*Compliance training and promoting a risk aware culture across the organisation.*AML monitoring, reporting and testing*People management and mentoring of a small team*Relationship management with business heads and regulators.* Sign off of various PDS’s / FSG’s / Advertising or Marketing material / policies and procedures etc.Ideally, you will have:*5 Read more […]
Compliance manager – English and French and/or Dutch recruitment
Company: Financial InstitutionPosition: Compliance ManagerLocation: BrusselsDuties:- To assess and monitor the impact of regulatory developments in Belgium affecting the Bank in Brussels, and to inform management and relevant business lines of such developments- To ensure that relevant compliance processes and procedures are maintained and adapted in line with changing regulatory developments- To provide compliance advisory services to our Brussels based staff for any Compliance related issues- To monitor the application of relevant regulations by the business, and to report compliance concerns Read more […]
Compliance Manager – Dealing Room – $110k++ recruitment
This is your chance to work with this global provider of banking, financial, advisory, investment and funds management services. Several opportunities are currently available within different teams across the group. In this role you will be performing a variety of risk compliance responsibilities including though not limited to: Providing advice in compliance and regulatory matters to the business The analysis and reporting of compliance data Responding to enquiries from regulators The administration of compliance systems To review and provide advice on new product development To review and provide 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 – Capital Markets recruitment
The main responsibilities will include: Responsible for ensuring business is compliant with the rules of the FSA, relevant stock exchanges, trade associations and group standards Assist in managing the relationship with the regulators Providing advice to front and back office functions Involved in the new product approval process for the above businesses Co-ordinate with overseas offices/booking centres within the group Conducting compliance training Coverage of other members of the Wholesale Corporate Compliance Team as required The ideal Candidate will have the following Skills: Extensive knowledge Read more […]
Compliance Manager – Private Equity recruitment
Reporting into the General Counsel, the successful candidate will be responsible for dealing with a broad range of compliance issues in a regulated environment. As you‘d expect from a private equity / deal-driven environment, this will include supporting the investment professionals from the initial investment stage all the way through to providing compliance advice regarding on-going operational issues.Whilst other members of staff are on hand to provide additional support to the Compliance Manager, is it expected that the successful candidate will be comfortable operating in what is essentially Read more […]
COMPLIANCE MANAGER – PRIVATE BANK (EXCLUSIVE & CONFIDENTIAL):Ref:A&F-AZH recruitment
Our client is currently seeking a high calibre candidate to join their growing private banking operations as Compliance Manager.As a key member in the central compliance team, you will be the only person to cover Private Banking business with exposure to AML / KYC, General Compliance, and new products approval. You will be working with regulators on transaction monitoring and keeping in regular touch on latest compliance updates.To be considered, you will be a solid compliance professional with sound knowledge on private banking operations. You will come from a sizeable private banking business Read more […]