Compliance Manager recruitment
ResponsibilitiesWorking with the business in compliance and regulatory advisoryProviding SFC, SFO and HKMA updates to internal and external clientsUnderstand and familiar with AML rules and regulationDevelop and implement compliance process and proceduresProvide licensing and monitoring support to the businessHold and run compliance related presentations and training sessionsRequirementsDegree holder with 5-8 years working experience, preferably in SFC or financial institutionsCompliance, licensing, monitoring or regulatory experience preferredKnowledgeable in Corporate Banking, Wholesale Banking, Read more […]
Associate Director – Compliance Manager recruitment
Associate Director – Compliance Manager – Group Regulatory Compliance – LondonMy client, a global banking group, is seeking a Regulatory Compliance Manager to join their team in London on a permanent basis. The successful candidate will be working with colleagues within the group centre to deliver compliance risk management processes to mitigate any regulatory financial risk. This is a very high profile role that will be dealing with very s enior stakeholders within the business and as such will be a very visible position. You will need the gravitas and communication skills to challenge and have Read more […]
Compliance Manager recruitment
Working from Birmingham you will have responsibility for: – Compliance monitoring and investigation of ongoing business activity including reviews of relevant business lines activity and ad hoc visits to third party service providers and administrators to ensure compliance issues are identified and that where necessary, interpretation guidance given to the business to ensure remediation. – Oversight of third party management information to both ensure adequacy and early identification of issues. – Production of regular compliance management reporting and a monthly regulatory roundup for distribution Read more […]
Compliance Manager recruitment
Our client, a top tier European Investment Bank seeks a mid-level Compliance professional to join the advisory Compliance team to support the Structured Solutions and Fixed Income business. The successful candidate will provide advice to the business and resource functions on regulations and compliance policies focused on equities and fixed income while conducting periodic desk reviews of the firm’s activities. You will lead projects on different Compliance aspects upon regulatory changes and coordinate with local compliance officers in the region.The successful candidate must have circa 5 years Read more […]
Compliance Manager recruitment
The primary responsibility of this role is to develop and maintain a compliance frame work that supports the businesses strategic direction. You will manage the compliance plans, policies and systems and see these disseminated to the across the wider business. The first 6-12months of the role will also entail a large risk assessment project to be undertaken. Other responsibilities will include but are not limited to;- Providing advice in relation to compliance issues – Implement strategic objectives and business plans to ensure a consistent approach to compliance issues- Develop and maintain effective Read more […]
Compliance Manager recruitment
-Candidates will be responsible for managing all of the local compliance issues -They will work closely with the Asian Head of Compliance, who is based in Singapore – 5-7 years experience is ideal
Compliance Manager recruitment
Our client is the Asset Management arm of one the UK’s most recognised Financial Service Groups. The group has continued to grow extensively year on year and provides a variety of services to a client base ranging from private to institutional and corporate clients. To accompany this growth they are looking to expand their Compliance Department through the addition of a Compliance Manager who will provide support across the entire firm.Your main responsibilities will be:• Assisting with regulatory change updates and Compliance policies procedures; including the Compliance Manual.• Completing Read more […]
Compliance Manager recruitment
The Regulatory Change manager will be responsible for working with the business in an advisory capacity to ensure impact assessment and implementation of key procedural, policy and process changes meet regulatory initiatives.Key Skills Required:The Regulatory Change manager must have had experience working with the current EU directives: Dodd Frank act, MiFid II, EMIR, AIFMD, Prospectus Directive and FATCAExperience of FSA Arrow and SEC visits desirable, not essentialExperience of writing policy and procedures to a high standardExcellent communication skillsGood product knowledge: FX, credit, derivativesInvestment Read more […]
Compliance Manager recruitment
Nomura Asset Management (NAM) has approximately 120 employees. Within the company, there is an exisiting team of four who work in Compliance. We require an experienced individual to join the team for approximately 6 – 9 months as maternity cover for the Vice President, Compliance. The role will primarily involve assisting the Head of Compliance with UK, European and US regulatory issues and managing various business and control issues arising within the Compliance Dpeartment, including assisting with take-on of new segregated client and fund business as well as client servicing issues.The Compliance Read more […]
Compliance Manager recruitment
Responsibilities:- to monitor the compliance function and its management of the Bank’s regional units- to provide guidance, education and training for understanding and realization of proactive compliance function towards local compliance officers and employeesRequirements- general corporate banking experience with some exposure in compliance work will be an adde advantage- experience in preparing and holding training session and/or business presentation- able to travel to Asian and Oceania countries including India and Pakistan (on needs basis)- fluent English capability (speaking and writing) Read more […]