Compliance Officer recruitment
A long-term contract opportunity with a continually growing financial services firm is available for an experienced Compliance Officer with retail sales experience. Working from its Downtown Toronto office, the Compliance Officer will be accountable for the daily rental and trade desk supervision as well as for second tier retail supervision, new account reviews and approvals. He/she will also be in charge of marketing reviews and approvals, research reviews and approvals and daily trade desk supervision. Qualifications: The Compliance Officer is to have 3 or more years of experience within Read more […]
Compliance Officer recruitment
Requirements:BA/BS in Finance/Business or related field7 – 15 years relevant experienceKnowledge of NYS and Federal bank regulations is required. About Green Key Green Key Resources gives candidates more than just job opportunities. We act as career advisors, provide salary surveys, and we have expert negotiating skills. We believe in fostering relationships, and our team is dedicated to spending enough time with each candidate to gain a complete understanding Read more […]
Compliance Officer recruitment
A well regarded financial services organization has a new opportunity for a compliance officer to join its Hong Kong business. Our client is a medium sized global financial services leader in its field. Due to sustained growth and continued expansion plans across Asia they require a compliance officer to join their established compliance team. The role reports to the North Asia head of compliance and would get significant visibility to the business and opportunities for senior management experience. In the role you will be providing general compliance support and in particular in AML matters for Read more […]
Compliance Officer recruitment
One of the leading Private Banks is looking for a Compliance Officer to join their team. Position open in Geneva.Job purposeOverall responsibility for the successful planning and execution of the compliance stream within a project aiming to review: KYC, client profile, documentation.Main accountabilities-Database and document review-Remediation of KYC Data and Documentation-Process Development-Procedure review-Stakeholders Management-Team and project management, applying project appropriate project management governanceKey requirements-Excellent understanding of Private Banking Business with 4 Read more […]
Compliance Officer recruitment
Responsibilities • Employee compliance including Personal Investments, Outside Business Activities, and Gifts and Entertainment and other tasks as required• Licensing for UBS and individuals performing services for UBS including overseeing the issuance of Designated Representative Certificates, and appointment of Authorised Representative• Overseeing the framework that supports Responsible Managers, Responsible Executives and Responsible Officers for key regulatory authorities including ASIC, ASX and APRA• Assisting to maintain the Compliance Framework for the Investment Bank including Read more […]
CONTROL ROOM – Compliance Officer recruitment
To provide pro-active support for the appropriate identification and resolution of conflicts of interest, advice on and operation of SG internal policies regarding conflicts of interest, Chinese walls, personal account dealing, outside business interests, and regulatory disclosure of SG activities as required.Main responsibilities To ensure that any potential conflicts of interest are dealt with in accordance with the Conflicts of Interest Policy and are referred, as appropriate, to the relevant manager and within Compliance as appropriate To advise on the application of the Conflicts of Interest Read more […]
VP, Compliance Officer recruitment
Job Responsibilities: -• Work with Chief Compliance Officer, Asset Management, APAC in running strategic global and regional business / compliance projects e.g. SG hubbing project, transfer of Fixed Income team to Singapore, AM cross border initiatives• Responsible for the application and maintenance of the additional licenses required for building up the Emerging Markets hub in Singapore• Develop and maintain Compliance program for the AM Singapore business• Review marketing materials in accordance with AM standards and cross border requirements for South Asia• Develop Read more […]
COMPLIANCE OFFICER recruitment
Responsibilities:• act as key control room/compliance liaison between private and public side businesses in regards to conflicts clearance and management of information walls• provide strategic direction for regional conflicts management platform by identifying and guiding enhancements to it• guide and enhance the business-critical research clearance function• lead and develop control room-related policies and procedures and other initiatives• advise research on pre-deal report related matters. Direct review of pre-deal reports and research guidelines within control room team• respond Read more […]
VP, Compliance Officer recruitment
• Major Financial Institution• Dynamic Environment• Continued Business Growth, New HeadcountOur client is a well established and respected financial institution which is continuing to expand its international presence. It has a good reputation for employee development and an open, inclusive culture.Reporting to the Head of Compliance, you provide guidance and direction to ensure the compliance with all applicable laws and regulations such as the Securities Futures Act, AML, Financial Adviser’s Act, Companies Act. Provide compliance inputs and advisories for complex initiatives with significant Read more […]
Compliance Officer recruitment
A leading international bank currently has an opportunity for a Compliance Officer within their compliance monitoring team. The bank is looking for a candidate with at least 4-5 years within compliance in banking. The essential duties of the Compliance Officer will be to: Review on a periodic basis, the relevant compliance domains and business areas set out in the Compliance Monitoring Programme to establish compliance or otherwise with the various requirements. Monitor the introduction of new or amended compliance obligations as set out in relevant legislation, regulations and standards. Assess Read more […]