Compliance Manager, Investment Banking (CM-IB/EL080512) recruitment
My client, a leading Investment Bank, currently has an urgent requirement for an experienced Compliance professional to join an integral business area and develop a specific compliance program aimed at ensuring the Company’s activities in Asia are compliant with policies and procedures and within relevant Asia regulations.Working within the Investment Banking Division, you will be responsible for promoting compliance awareness and assisting with the development and implementation of compliance policies and procedures across this area. You will also be responsible for assisting with internal audits Read more […]
Compliance Manager – CF10 recruitment
My client is a well regarded investment management firm and is looking for a Compliance Manager to head up the compliance function for its’ asset management business. This position will be the registered CF10 and CF11 with the FSA and have responsibility for all aspects of compliance for this part of the business.This role will be challenging and diverse and the post-holder will be:• The main contact with the FSA• Developing / maintaining the compliance manual as well as company internal policies and rules• Establishing and maintaining all procedures ensuring all business activities Read more […]
Compliance Manager, IBD and Research recruitment
Our client, a tier 1 institution, seeks a high-caliber compliance professional to join their busy IBD compliance team in Hong Kong. Opportunity for regional exposure, this role works very closely with the business. The key responsibilities in this role will be: – Promoting an awareness of compliance across the investment banking division of the institution as well as other key business lines. – Keep up-to-date with all regional regulatory changes – Actively participate in developing and implementing compliance policies and procedures – Deliver compliance training – Be the point of contact Read more […]
Assistant Compliance Manager / Compliance Manager, Insurance recruitment
The Company My client is an Asian leading insurance group with major presence across APAC region. Due to an internal promotion a fantastic opportunity has arisen for an experienced and motivated compliance professional from financial services to join their group. The Role Manage and support the compliance services for the insurance business in accordance with legal compliance requirements and company guidelines; Conduct risk assessment and risk impact analysis; Assist in updating compliance manuals and procedures; Review marketing materials and external communications; Assist in handling inquiries Read more […]
Compliance Manager – Regional role for top tier Financial Advisory recruitment
About Our Client Our client is a top tier financial advisor that offers a full range of financial advisory services including MA and strategic advisory and financing advisory, including restructuring. They offer trusted, independent advice to regional corporations of all sizes, as well as to overseas investors.Job Description Providing regulatory compliance services and support to regional offices Technical roleThe main responsibility of the job will be to ensure the comprehensive implementation of the compliance manuals for all divisions in the Southeast Asia offices and on-going monitoring of Read more […]
Compliance Manager – China focused team recruitment
Our client has a strong presence in Asia 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 team within the Compliance department.In this role, you will be responsible for all general compliance and risk management affairs including overseeing and monitoring compliance risk and advising the Senior Management in developing further guidelines, compliance policies and procedures to minimize the compliance risks for the business. You will be responsible to management a small Read more […]
COMPLIANCE MANAGER, SECURITIES & INSURANCE – COMMERCIAL BANK recruitment
FAST EXPANDING COMMERCIAL BANKDYNAMIC WORK CULTURESENIOR LEADER OF THE DEPARTMENTOur client is urgently looking for high calibre candidates to join their Compliance Department as Compliance Manager for the Investment Insurance Compliance team.As the team leader, you key responsibilities include the supervision of junior staff, overseeing the compliance work within investment and insurance products sales. You will also be responsible for the review and approval of compliance procedures for new products.To be successful, you will have proven track record of working in compliance function for minimum Read more […]
Compliance Manager, Insurance recruitment
The Company Our Insurance client is on an exciting phase of continued development and new leadership, and as such, they are seeking to appoint an experienced Compliance Manager to effectively manage the company’s risks and avoid breaches of laws, regulations and regulatory standards. The Role – Developing and maintaining strong compliance risk management program; – Developing and implementing compliance policies, procedures, manuals and training programs; – Ensuring changes in laws and regulations are appropriately reflected and in place; – Ensuring proper compliance training takes place; – Ensuring Read more […]
Compliance Manager – Leading Hedge fund – HK & Singapore recruitment
Role Responsibilities: – Liaise and work closely with compliance colleagues, traders, operations, finance, affiliated offices, technology, brokers and prime brokers on all compliance issues- Understand the risk management profile of the firm to identify emerging risks- Conduct trade surveillance and other compliance monitoring- Respond and resolve trading issues- Review, develop and enhance compliance policies and procedures- Review and prepare internal reports- Ensure offices in Asia are compliant with regulatory and legal requirements in applicable Asia Pacific jurisdictions including licensing/registration Read more […]
Compliance Manager, Financial Institution ($35-60K) recruitment
The Company Due to ongoing business success a leading international financial institution requires an experienced compliance professional with experience in the banking/financial industry to join their team. The Role – Develop and implement compliance policies, procedures, manuals and training programs; – Assist with the ongoing surveillance and monitoring program across the financial markets; – Assist the Head of Compliance in the development of enhancements to the Compliance framework in line with new and existing legislative requirements; – Liaise with regulators; – Advise management on compliance Read more […]