Compliance Manager – US based Brokerage recruitment
Hong Kong• Growing Business • Multicultural environmentReporting to the VP, you will be responsible for the followings:• Managing any SFC HKEx Licensing compliance matters • Responding to all regulatory inquiries from the SFC • Ensuring compliance to firm’s policy by all employees relating to: training; staff dealing, gifts entertainment, AML, account opening order recording etc • Conducing AML review control and trade monitoring for any review errors or failed settlements • Monitoring and reviewing soft dollar issues • Developing internal controls and policies to Read more […]
COMPLIANCE MANAGER, SECURITIES SERVICES – HK / ASIA recruitment
Our client is a major global financial services provider engaged in investment banking, private banking and investment management services with an extensive international presence. To cope with their business expansion, they are seeking an experienced professional to join them.Provide compliance support for the business in HK or regionally. Provide compliance and regulatory advisory on an ongoing basis for the business and associated support functions, including advice on existing and new Hong Kong banking regulations and relevant SFC regulatory requirements. Evaluate compliance with relevant regulations, Read more […]
Compliance Manager – Up to 12 month FTC recruitment
Purpose of Position The purpose of the role is to provide advice and guidance to a specific business unit within BNP Paribas Securities Services. This includes the provision of advice, guidance and training on all regulatory matters (FSA and other regulators as appropriate) as well as undertaking compliance monitoring. Purpose of Department The Compliance Department exists to provide advice, guidance and support on all regulatory matters which affect Securities Services within offices maintained in London, Peterborough, Glasgow and Dundee. The Compliance department is responsible for ensuring Read more […]
Compliance Manager, Foundation for Foreign Study, Cambridge, MA Job in Cambridge, Massachusetts Us
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Senior Compliance Officer / Compliance Manager – Investment Group recruitment
The Company Our client is a leading international Investment group with Asset Management, Brokerage, Securities and Corporate Finance licenses. They are currently seeking an experienced Compliance Officer to join their growing venture. This is an excellent stepping stone into a large financial planning organisation, with the potential to build a career within the well respected compliance function. The Role • Handling SFC’s enquiries; • Reviewing marketing materials; • Contributing to the design, implementation and on-going improvement of compliance manuals, policies, procedures and systems; Read more […]
Compliance Manager
Job Description:The selected candidate will be responsible for the Compliance practice in Singapore and the coordination of the Compliance practice activity in the Singapore office. The selected candidate will report functionally to the Director Compliance (Asia Pacific) and locally to the Managing Director.Detailed job responsibilities include:Analysing the company’s regulatory compliance strategy and assisting with control recommendations.Liaising with local and regional regulators.Working with key senior management on all areas of corporate governance and compliance / audit requirements.Support Read more […]
Compliance Manager – Global Financial Institution recruitment
Hong KongGrowing BusinessMulticultural environmentReporting to the VP, you will be responsible for the followings:Managing any SFC HKEx Licensing compliance mattersResponding to all regulatory inquiries from the SFCEnsuring compliance to firm’s policy by all employees relating to: training; staff dealing, gifts entertainment, AML, account opening order recording etcConducing AML review control and trade monitoring for any review errors or failed settlementsMonitoring and reviewing soft dollar issuesDeveloping internal controls and policies to identify, control and mitigate operational riskSubmitting Read more […]
Compliance Manager – HNW Adviser Network
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Compliance Manager – Managed Investment Schemes
This market leading global investment and advisory firm requires a compliance manager to join their existing managed investment scheme compliance team. The role will involve providing advice and guideance to the business in order to satisfy all external regulatory obligations and client contractual requirements.Duties will entail -To consider the implications of client contractual, legislative and regulatory requirements on the operation of the managed investment schemes and undertake compliance monitoring procedures as necessary in the fulfilment of these compliance requirementsDocumentation and Read more […]
Compliance Manager – Private Client Group recruitment
We are seeking individuals with strong knowledge of regulatory and compliance controls procedures, a minimum of 5 years relevant experience with compliance or audit profession in a bank or financial institution.Candidates will be responsible to compliance reviews and to ensure legal entities and representative office have complied with the rules and regulations issued by the relevant authorities (Eg. SFC, MAS, etc). Within the role, to act as a compliance advisor in relation to regulatory and compliance to the private client group business and to prepare responses to regulatory inquiries and investigations.Successful Read more […]