Compliance Officer – Insurance recruitment
The successful candidate will work across all areas of compliance, this will include:Keeping up to date with local regulations and any changes;Working on the anti-corruption program;Local monitoring compliance;Ensuring the local code of conduct is followed; andProviding general compliance support to the Beijing team.The successful candidate will have some compliance experience or could be a lawyer wishing to make the transition into a compliance role. You will need to have a strong character as you will work closely with business. Fluency in Mandarin is required.For more information please contact Read more […]
Compliance Officer, Asset Management recruitment
Reporting to a Senior Compliance Manager, the successful candidate will be responsible for: Assisting with upholding the regulatory compliance requirement Assisting with the design and implementation of compliance policies Assisting with the review of marketing materials to ensure that regulations are adhered to Liaise with departments such as Marketing (to ensure licensing and regulatory requirements are adhered to) and Legal (when setting up licenses) Assist with AML related matters Training new staff on compliance policies, ethics and AML Keeping abreast of regulatory developments and to provide Read more […]
Compliance Officer – Dubai recruitment
Due to the expansion of our Dubai office we are know looking for a compliance officer to be based in the middle east. Your duties will include:Strong knowledge of Futures and Options products from a risk and compliance perspectiveReporting to the global head of compliance who is based in EuropeLiaising with the FSA and legal partnersProviding support and communciation lines For this role the candidate does not need experience in UAE but a broad knowledge of Compliance from a trading and broking perspectiveIf you feel you can adhere to the above please apply stating your remuneration, notice Read more […]
Compliance Officer/Senior Counsel recruitment
The Senior Counsel/Compliance Officer will have responsibility, along with the Chief Compliance Officer, for ensuring compliance with the MAS regulatory regime and any other regulatory regime to which CA Asia is subject. The Senior Counsel/Compliance Officer will also be responsible for, along with the General Counsel, for contract and other legal matters in the Singapore office, as well as assisting the Firm’s Beijing and Sydney offices. ResponsibilitiesProvide compliance training for Singapore staff in the form of seminars and materialsEnsure compliance with, among other things,Anti-money Read more […]
Compliance Officer – Long Island recruitment
ResponsibilitiesOversee all private placement compliance mattersPrepare necessary due dilligenceMaintain and update Written Supervisory Procedures (WSP’s)Develop Regulatory Continuing Education TrainingMaintain and update when necessary employees CRDPerform AML monitoring and testingRespond to FINRA regulatory inquiriesOversee e-mail account surveillanceResearch and respond to investigations and complaintsRequirementsPossess a clean U-4 with the following licenses: Series 7, Series 24, Series 55, and Series 99Minimum of 3 years experience working in a compliance department of a firm whose products Read more […]
COMPLIANCE OFFICER – Asset management recruitment
Pour l’un de nos clients, une banque privée de la place de Genève, nous recherchons un :COMPLIANCE OFFICER pour son département d’asset management.Profil du poste :Identifier et signaler les risques et les conflits d’intérêts susceptibles de découler de nouveaux produits, processus ou stratégiesVeiller à ce que les erreurs et les manquements détectés soient notifiés sans délai; s’assurer que les mesures nécessaires sont prises en vue de les corriger.Améliorer la mise en œuvre des procédures compliance pour les équipe de gestion (ainsi que pour les unités opérationnelles Read more […]
Compliance Officer – Buyside recruitment
This role involves working closely with management, the business and middle office to further develop and implement all risk and compliance related initiatives. The compliance team is responsible for maintaining and monitoring the compliance framework, policies and processes in accordance with both the company and MAS regulatory requirements. Furthermore, the compliance manager must be familiar with the Securities and Futures (Licensing and Conduct of Business) Regulations, Securities and Futures (Financial and Margin Requirements) Regulations and Financial Advisers Regulations.While working with Read more […]
Compliance Officer, AML & Financial Crime recruitment
Working closely with the MLRO and Deputy MLRO you will assist in all aspects of AML / Financial Crime.Duties include:Review the adequacy of Customer Due Diligence (CDD), Know Your Customer (KYC), Know Your Business (KYB)Provide the business with advice and guidance on all relevant regulatory obligations Assist line management to ensure that the firm establishes and maintains appropriate, policies, procedures, systems and controls to meet its regulatory obligations and requirementsProvide support to line management in its liaison with regulators, auditors (internal external) other group companies Read more […]
Compliance Officer – Monitoring & Reviews recruitment
Compliance Officer required for the Risk and Assurance division of this leading investment bank.You will assist in establishing and maintaining a risk-based electronic trade surveillance monitoring programme, covering monitoring of relevant regulatory and exchange requirements. Key Responsibilities: On-going performance of the electronic trade surveillance programmeAssisting in regulatory and internal investigations as assigned by the Compliance Management Team or Head of Financial CrimeActive participation in investigations into incidents arising within the business lines ensuring proper and timely Read more […]
Compliance Officer – Sanctions, AML recruitment
I am currently working on 3 Sanction roles across 2 top-tier Investment Banks based inLondon. The roles are: 1 Director level – salary range is £100 – 125k basic 1 Associate Director level – salary range is £70 – 80k basic 1 Analyst level – salary range is £40 – 50k basic Responsibilities: Provide advice, guidance and support to the AML local advisory teams of the relevant businesses on sanctions regimes and related policies, including advice regarding alerts produced by payment and client screening systems. In collaboration with the Senior Compliance Managers and Policy Manager in the Read more […]