Compliance Manager, Advice & Initiatives recruitment
Our UK Wealth (Private Banking) businesses have strong brands and are very well positioned in their markets. We offer banking and investment services to wealthy private and business customers in the UK and around the world. Our services include investment and portfolio management, tax, trust and estate planning, and stock-broking. We also serve offshore corporate and financial institutions. Our brands are Adam Company, and Coutts. RBS manages its compliance risk in a manner which will support the organisation to achieve and maintain its goals of standalone strength and sustainable growth Read more […]
COMPLIANCE MANAGER, POLICY – GROWING COMMERCIAL BANK recruitment
BANKING COMPLIANCE EXPOSUREGROWING COMMERCIAL BANKENSURE OPERATIONS EXCELLENCEOur client is one of the fastest expanding commercial banks in Hong Kong offering full spectrum of banking products and services to their clients. They are currently seeking a high calibre Compliance professional to join their growing compliance team.As the key member of the team, you will be overseeing the overall Compliance Policy section within the department and be responsible for studying and analysing all banking regulations and compliance requirements and impacts on specific businesses. You will be working closely Read more […]
Compliance Manager – Financial Promotions recruitment
My client – a large and well known asset manager is looking for a Financial Promotions specialist to join their compliance function.Experience in this field is essential.The role responsibilities are:Review and approve retail advertising, marketing and electronic marketing material for use on the UK, in line with FSA rules, regulations and guidance on financial promotions.Review and approve some parts of prospectuses, key investor information documents, fact sheets etc.Provide some training in relation to financial promotions and marketing.Maintain UK policies and procedures in respect of financial Read more […]
Compliance Manager, VP recruitment
Job Duties and Responsibilities• Oversee GS Anti Money Laundering (AML) and Know Your Client (KYC) programs for the AIS Jersey operation, ensuring consistency with GS structure• Oversee the development, implementation, review and revisions of compliance manuals, policies, procedures and systems within AIS Jersey.• Monitor applicable changes in the regulatory risk profile for AIS Jersey and provide effective change management to address such changes.• Establish close working relationships with the EMEA Compliance team and collaborate on work efforts on an ongoing basis.• Work closely with Read more […]
Compliance Manager – Brokerage recruitment
The Company My Client, a leading global Brokerage is looking for talented individuals to fuel the exciting expansion plans. The Role Working within the Compliance Department of a Global brokerage firm you will be responsible for compliance oversight of regulatory issues within the group. The role is based in Singapore and involves providing assistance to the Head of Compliance – Asia. This role requires a sound understanding of the business undertaken in alternative investment with particular emphasis on the Singapore regulated entities, as well as a sound understanding of alternative investment Read more […]
Compliance Manager, Securities & Brokerage recruitment
The Company A motivated and experienced Compliance Manager is needed for a growing securities firm. To be successful in this role you will have experience in the Securities company and have proven compliance skills and knowledge. The Role Identifying any potential compliance risks and suggesting precautionary measures; Developing and enhancing compliance control policies and procedures, and monitoring their effective implementation; Assisting in new product development and ensuring that it complies with regulatory and internal compliance policies; Assisting in liaising with regulators and Read more […]
Compliance Manager – Macquarie Capital recruitment
Macquarie Group is a global provider of banking, financial, advisory, investment and funds management services. The Risk Management Group is an independent, centralised unit responsible for assessing and monitoring risks across the Macquarie Group. The Compliance Division within Macquarie’s Risk Management Group provides compliance support and advice to Macquarie’s operating businesses. We are currently looking for a Compliance Manager to support the Macquarie Capital business. Macquarie Capital provide advisory and capital raising services to corporate and government clients involved in public Read more […]
Compliance Manager, Securities / Asset Management recruitment
The Company Our client is a listed financial institution with asset management and securities business. A replacement opportunity exists within for a compliance professional to deliver a robust compliance framework for the business. This company has one of the best reputations in the market for integrity and employee satisfaction. The Role Provide compliance advisory raised from business changes (e.g. new products launch) and regulatory change; Review, update and implement compliance policies and procedures; Review marketing materials; Oversee licensing matter and regulatory filing; Promote Read more […]
Compliance Manager, Retail Banking recruitment
The Company Our client is a leading banking organisation with an admirable reputation in the market. They are currently seeking an experienced Compliance professional to join their Compliance team. Supportive team environment together with an attractive remuneration package commensurate with skills and experience. The Role Performing on-going compliance monitoring; Maintaining and enhancing compliance processes across the business; Reviewing compliance policies and procedures and ensuring in compliance with legal and regulator’s requirements; Providing compliance advisory on new regulations Read more […]
Compliance Manager – English and German recruitment
In this role, you will be the liaison between the legal section and the business, as well as overseeing regulations and analysing auditing standards.To be considered for this role, you must demonstrate:- A minimum of 2 years experience in a Compliance role within the financial services industry – Knowledge and experience of Capital Market compliance- A Bachelors degree, ideally in Law- Fluent in English and GermanIf you are an experienced, motivated and an independent worker, and want to develop your career in an international Read more […]