Compliance Manager, Asset Management firm (40-55K) recruitment
The Company An outstanding opportunity exists for an experienced Compliance Manager to join an International financial group (with asset management and securities license). This is a fabulous opportunity to expand and grow your career in a key role within the organization. The Role – Managing and maintaining the compliance framework that addresses all relevant legislative; – Embedding compliance policies, procedures and controls procedures to ensure compliance with relevant legislative, regulatory and policy requirements; – Promoting a culture of Compliance across the business; – Reviewing marketing Read more […]
Compliance Manager – Private Equity – part-time recruitment
The OpportunityOur client is a well respected venture capital firm headquartered in London, focused on investments in the UK and Europe. Due to further growth, the firm is now looking to streamline its compliance function. Reporting into the CFO, you will be responsible for overseeing compliance requirements and regulatory obligations within business for the London and European offices, You will also need to maintain appropriate written procedures to ensure compliance with applicable legislation, regulations and group policies, and to monitor adherence to such procedures. You will also take responsibility Read more […]
Compliance Manager, Financial Institution recruitment
The Company Our client is an industry leading financial institution and a true employer of choice. They are looking to appoint a Compliance Manager. Reporting to the Head of Legal Compliance, this role requires a dedicated and hands-on individual. The Role • Review, update and implement policies and procedures; • Perform compliance monitoring; • Staff dealing monitoring; • Assist the Senior Compliance Manager in developing compliance frameworks in line with new and existing legislative requirements. • Review and analyse changes to legislative requirements and their effect upon business Read more […]
Compliance Manager, Funds recruitment
Our Client is seeking a Compliance Analyst who will be required to assist in the implementation and delivery of the Compliance Monitoring Plans both nationally and internationally. This includes the daily investment compliance monitoring tasks and ad-hoc projects. This compliance role will present the opportunity to expand their knowledge in funds and middle office trading. Experience and Skills Required: Third level qualification in Business, Economics or Finance 3 years experience in Financial Services as a compliance officer or similar Signifigant compliance experience within Funds, Trades Read more […]
COMPLIANCE MANAGER, EQUITIES GLOBAL MARKETS 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 outstanding Compliance professional to join them.Support and assist senior line management in Hong Kong and the Asia Pacific region to comply with all relevant external regulations, codes of conduct and internal codes and policies, and good market practice. Ensure that compliance functions within Hong Kong and AP operate so as to service management and business Read more […]
Compliance Manager – Top Global Insurance Broking Company recruitment
About Our Client Our client is the leading global insurance broker and risk adviser in Singapore. Headquartered in US, our client has been bringing its capabilities to creating and delivering superior risk solutions to clients since the late 1800’s. With over 200 staff working in Singapore, providing their expertise and areas of specialist practice in handling clients’ individual risk management needs.Job Description We are seeking a bright and energetic individual with good interpersonal skills for the role of Compliance Manager for Singapore, reporting to our Chief Compliance Officer for Read more […]
Compliance Manager – Contract recruitment
Nomura Asset Management (NAM) has approximately 120 employees. Within the company, there is an exisiting team of four who work in Compliance. We require an experienced individual to join the team for approximately 6 – 9 months as maternity cover for the Vice President, Compliance. The role will primarily involve assisting the Head of Compliance with UK, European and US regulatory issues and managing various business and control issues arising within the Compliance Dpeartment, including assisting with take-on of new segregated client and fund business as well as client servicing issues.The Compliance Read more […]
Compliance Manager – Retail Broking recruitment
The primary responsibility of this role is to act as an advisor to the business on compliance matters. The successful candidate will be reporting directly to a Senior Manager within the organisation. Other duties include undertaking compliance reviews, training and regulatory liaison. This role is predominately retail focused with an emphasis on equities and derivatives. This is an excellent opportunity to join a top-tier institution. The ideal candidate will have demonstrated equities compliance experience gained in another broking organisation or with a regulator. You will possess outstanding Read more […]
Compliance Manager, Singapore recruitment
Reporting to the Managing Director in Singapore and with a functional report to the Head of Legal and Compliance for Asia Pacific this position comes with an attractive work scope, competitive remuneration and an ideal working location.Key Responsibilities Include:Provide timely compliance advice to management and business units of the Branch on local regulations, laws, policies and the impact these have on the business ensuring complete control and commitment to local requirements at all times;Review the Bank’s internal policies, procedures and guidelines in order to ensure they are in accordance Read more […]
Compliance Manager, Banking ($55-80K/mth) recruitment
The Company Due to a greater need to mitigate compliance and risk, an outstanding opportunity exists for a Compliance Manager to join a leading international bank with operations across Asia, America and Europe. Utilize your experience in Financial Services Compliance and take on a permanent position in a friendly, outgoing and professional Legal Compliance team! The Role – Making recommendation and providing compliance advice across the banking business; – Ongoing identification and testing of internal controls; – Continuous review of compliance and AML related policies, procedures and controls; Read more […]