Compliance Manager / Marketing & Distribution recruitment
Our client, a global financial institution is looking for a compliance manager to provide guidance and support to their private banking business. The individual would help in identifying and mitigating risks across the business and help promote a proactive regulatory culture and protect the reputation of the firm. Duties Include: • Support Senior Management to ensure the business meets its regulatory requirements. • To review and sign-off on all client pitches and other financial promotions. • Conduct training for the private banking businesses in relation to financial promotions. Read more […]
Compliance Manager, Asset Management recruitment
The Company Our client is an international financial institution with a significant presence in the Asia market and poised for further growth. Due to expansion plans throughout the Asia Pacific region an opportunity has arisen for a Compliance Manager to join a well developed compliance team and assist in the ongoing regulatory compliance. The Role – Develop, implement, maintain and review the bank’s processes, framework, and tools; – Monitor, manage and advise Head of Compliance in regulatory matters; – Conduct field audits to assess compliance; – Monitor and provide compliance advice on changes Read more […]
Compliance Manager, General Compliance, Banking recruitment
The Company Our client is a leading international bank with a strong presence in Asia. Due to expansion plan, they are identifying for someone with either AML or General Compliance background, reporting to the Head of Compliance. Your contribution will always be greatly rewarded here. Not only will you enjoy the benefits of being part of such a well-respected and leading organization, but you’ll also enjoy the progressive career development. The Role In this role the successful canddiate will assist the bank to maintain and improve the overall compliance processes across the business, oversee and Read more […]
Compliance Manager, Financial Institution ($40-55K) recruitment
The Company Do you have solid compliance experience and would like to take your career to the next level? My client is a leading Financial Institution who is seeking for a polished and dedicated Compliance Manager to join their team. This is a fantastic career development for those who wish to climb the corporate ladder – excellent opportunity to grow your career to Management Level. The Role – Conducting regular compliance monitoring reviews to ensure in compliance with internal policies and regulations; – Providing compliance advisory for different business units; – Developing and maintaining Read more […]
Compliance Manager – Multi billion Hedge fund – 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 – Corporate Banking recruitment
The position will involve you looking at regulatory risks of new business initiatives, provide guidance and propose solutions to my clients products. The role will involve you taking ownership for a wide variety of regulatory/compliance issues/breaches, and escalating to senior management where appropriate. This is a generalist compliance role, where you will be responsible for developing/building relationships with key stakeholders (both internal and external) and providing advise and support on a broad range of regulatory issues. The ideal candidate will have come from either a corporate/wholesale Read more […]
Compliance Manager, Assistant Vice President recruitment
Roles and Responsibilities RISK REGULATORY• Ensure the organization conducts business in compliance with legal and regulatory requirements, company policies and ethical business practices• Provide expert guidance to the business on the application of regulations and legislation impacting Transfer Agency• Monitor changes in the regulatory environment for IFDS Ireland and provide effective change management to address such changes• Work closely with IFDS Ireland management to establish an appropriate compliance culture throughout the business units• Drive the development and implementation Read more […]
Compliance Manager/Officer recruitment
A top securities house is looking for a compliance manager to be based in hong Kong. We are targeting individuals from audit firms, brokerage, regulatory authorities, investment banks with between 3-7 years of experience to be based in Hong Kong. Role: -Management of SFC HKEx Licensing compliance -Ensure compliance with the firms policies by all the firm employees -Conduct AML review and control including KYC, due diligence, and identification of suspicious activities. -Trade monitoring of firm employees, including reviews of errors This role is an exciting opportunity with a top securities house Read more […]
Compliance Manager, Monitoring & Surveillance recruitment
If you have the following skills and experience then this may be a great opportunity for you to join a reputable brand in financial services:At least 4-7 years of Compliance experience within a financial institution, regulatory body and/or comparable environment. Good knowledge of the local market and local language skills e.g. Mandarin and/or Cantonese.Good working knowledge of banking and securities laws, regulations, directives and regulatory expectationsThe ability to balance commercial objectives with legal, regulatory and ethical considerations and provide compelling solutionsThis primary Read more […]
Global Policy/Compliance Manager – KYC/AML/Investment Banking recruitment
You will be responsible for providing support and guidance to Regional Policy Managers in order to establish standardised practices across global KYC services. Acting as a central point of contact between KYC services and Global Compliance you will be required to conduct feasibility studies and undertake analysis to support the development and implementation of global minimum standards for KYC.To be considered for this opportunity you will need:- Proven experience of developing and implementing AML policy the context of a EDD/CIP/CDD process.- Experience of AML policies, regimes and regulations Read more […]