Compliance Manager, Control Room recruitment
We currently have an opportunity within our Global Banking Markets Central Compliance function for an experienced Control Room Compliance Manager. Reporting to the Global Head of Control Room, key duties will include:Provide direction and support for the responsibilities and functions of the Compliance Control Room team.Act as key contact in the Control Room in relation to managing conflicts of interest including transaction approvals, personal account dealing and takeover panel disclosures etc.Conduct conflict management induction training for any new joiners to Compliance.Develop and refine Read more […]
Compliance Manager, Banking recruitment
The Company An outstanding opportunity exists for an experienced Compliance Manager to join an International bank. This is a good opportunity to expand and grow your career in a key role within the organisation as well as enjoying the work-life balance it offers. The RoleMaintain and improve the overall compliance processes across the business; Oversee and manage the regulatory requirements across the business; Assist in the developing and enhancing the compliance framework; Identify and mitigate key compliance risks; Update and implement the compliance policies and procedures manual; Oversee Read more […]
Compliance Manager – Private Banking (European) recruitment
With so many banks frankly struggling under the weight of challenging market conditions, shrinking margins but increasing weight of regulation, why not consider joining a bank that refreshingly is getting things right on all these fronts? Their European Private Banking division offers a key role in London to join a five strong team and this role has plenty of breadth and variety. You will be advising the business on a variety of regulatory considerations linked to the products offered, associated risk profiles, suitability and design. You’ll be a promoter and communicator of TCF principles and Read more […]
Compliance Manager – Private Banking recruitment
The Company Our client is a Swiss wealth management institution offering services to private and institutional clients in the management of financial assets. They have presence in 29 locations in Europe, Asia and the Middle East and the Americas. The Role This role requires you to be responsible for general compliance and full spectrum of KYC/AML. Ideally you will have private banking experience.Your Profile To be successful in this role, you must be a Degree holder with at least 5 years of experience in Compliance within a private banking space. You must be hardworking and possess passion in your Read more […]
Compliance Manager – Hedge Funds recruitment
Job Responsibilities Purpose of the roleThe position will provide support to the Asia Pacific COO. Ensure daily work in accordance with regulations set out by the Hong Kong Securities Futures Commission (SFC) and other applicable jurisdictions within the Region. Daily interactions are primarily with the Head of Trading, all traders and trading operations personnel.Key accountabilities• Conducts company’s trading oversight programme in the Region• Obtains and filters relevant data from in-house trading systems and data repositories for daily compliance monitoring analyses and exceptions reporting• Read more […]
Compliance Manager – Macquarie Funds Group recruitment
Macquarie Group is a global provider of banking, financial, advisory, investment and funds management services. Strong prudential management has been a key to Macquarie’s success over many years. 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. The Macquarie Funds Group (MFG) Compliance team has staff in the US, Australia, Europe and Asia. MFG has a number of regulated Read more […]
Compliance Manager, Asset Management recruitment
Reporting to a VP, Compliance the successful candidate will be responsible for: Assisting with upholding the regulatory compliance requirements Monitoring investment restrictions Assisting with the review of marketing materials to ensure that regulations are adhered to Monitoring the trading activity to ensure that regulatory guidelines are adhered to Assisting with the design and implementation of tests to improve the accuracy and efficiency of limit monitoring Assisting senior compliance managers to work closely with the trading desk and investment managers The successful candidate will possess: 3-5 Read more […]
Compliance Manager, Brokerage & Securities recruitment
The Company This well respected and growing financial services group is seeking an experienced Compliance Manager responsible for overlooking the compliance functions for their Brokerage and Securities arm. The Role As the experienced Compliance Manager you will be responsible for assisting to setting up compliance framework in accordance with HK regulations including policies and procedures, handling day-to-day compliance and internal control issues relating to brokerage and securities trading, liaising with regulators. You will also be responsible for providing training for any changes to compliance Read more […]
Compliance Manager – AML Analytics ($130,000 – $150,000) recruitment
This is a newly created role ideal for a senior AML specialist. Join a highly trained team dedicated to providing in-depth AML monitoring, reporting and advice to the business. This role differs in its focus on trend analysis of suspicious transactions. This role offers a compelling career trajectory, especially for someone looking to affect change and work closely with the business. The role has three areas of focus, namely: Monitoring: execute a monitoring plan of key risks, AML/CTF and issues across all product areas Quality Assurance: enhance and maintain AML compliance plans, policies and Read more […]
Compliance Manager, Banking ($50-80K) recruitment
The Company Here’s an exciting opportunity for a Compliance Manager to manage the general compliance function to avoid breaches of laws, regulations and codes. Our client is a leading banking organization with an excellent reputation in the market. This is a highly challenging and rewarding opportunity with unlimited potential. A highly attractive remuneration package will be negotiated to attract the most suitable individual. The Role – Perform ongoing compliance monitoring; – Ensure compliance with all regulatory requirements and company policies and procedures; – Monitor regulatory changes within Read more […]