Compliance Officer recruitment
We are seeking a Compliance professional to assist the Regional Compliance Officer with the provision of advice to management regarding their regulatory obligations and for providing assistance with the achievement of compliance with these obligations.Based in Dubai and reporting to the Regional Compliance Officer, specific responsibilities will include:• to provide and maintain the Compliance Manual of UAE; • to monitor and notify changes / proposed changes to local regulatory requirements (Compliance/AML/CFT) and developments in the regulatory environment; • to provide timely and accurate Read more […]
Compliance Officer recruitment
Some of the responsibilities within this position will include:• Assisting the Compliance Officer/ MLRO (CF10;11) with the implementation and maintenance of automated and manual pre and post trade systems and procedures – FSA and SEC• Assisting with audit visits, investigation, ad hoc work and projects• Ensure that compliance documentation and procedures are regularly reviewed and updated• Assisting in the on boarding and monitoring of clients by carrying out Due Diligence, Client and Counterparty Classification, AML/ KYC/CDD• Responsible for the FSA Approved Persons registrations Read more […]
AML/Compliance officer recruitment
A rapidly-growing local Chinese retail bank is looking for a high-calibre candidate who has experience in compliance, AML and regulatory areas. AML OFFICER University graduate with 3 years or more experience in compliance acquired from a reputable financial institution Knowledge of AML policies, legal and regulatory requirements on banking products Effective communication skills with various departments Analytical skills and ability to work independently under pressure within tight schedule Good command of written and spoken English and Chinese. Verbal Putonghua skills required To find out more, Read more […]
Compliance Officer recruitment
The Group was founded in 1952. Recognised for providing clients’ premium quality financial and administrative solutions the Group works with preeminent tax, finance and legal professionals around the world.Intertrust Singapore is now seeking motivated individuals to join us asCompliance Officer. Reporting to the Head of Group Compliance with a functional reporting line to the local Managing Director, you will be responsible the following:Your function Regulatory MonitoringDevelop annual compliance work plan and maintain regulatory compliance checklists/control self-assessmentsConduct compliance Read more […]
COMPLIANCE OFFICER recruitment
COMPLIANCE OFFICER Prominent Chicago bank-owned international futures, equities, and options clearing brokerage firm is looking for an experienced Compliance Officer. This position reports to the CCO supporting all firm-wide compliance work designed to ensure that the firm’s activities, policies and procedures are in compliance with the various regulatory organizations. Job Responsibilities Include: Participate in the development and maintenance of comprehensive written supervisory procedures Work closely with various departments within the firm to provide analysis Read more […]
Compliance Officer recruitment
Role• Monitor PA Dealing and provide clearance as and when required• Deal with Control Room related queries• Follow the Conflict Clearance process for all relevant transactions• Provide cover for all members of the Control Room when required• Liaise with overseas affiliate offices on ad hoc projects and issues.• Work closely with IT on projects for daily monitoring• Daily monitoring of long and short position• Assist the Compliance manager with the implementation of the monitoring function.• Assist with the training of new members of the team• Read more […]
COMPLIANCE OFFICER recruitment
Responsibilities: confirm all regulatory requirements related to FX businessdeal with the SFC investigationhandle and investigate complaints from clientsmanage cases of arbitrationprepare and provide adequate and updated training program to all licensed staffreport Money laundering related transactions to JFIUreview and update existing policies and procedures on ongoing basisother compliance related mattersRequirements: more than four years’ compliance experience with a regulated financial services company will be preferred (experience related to RA3 (leveraged foreign exchange trading) is must)familiarity Read more […]
Trilingual Jurist / Compliance Officer recruitment
OrganisatieOur client is an international bank with a local office in Brussels. Job Description- You will review the legal framework of the BNB- You will review the actual process of the Bank and if necessary, you will adpat it to the legislation- You will do a regular reporting to european headquarter in London- On a mid-term, you will be in charge of the compliance for the whole bank Job Requirements- You have a two years experience as jurist- You speak fluently English, French and Dutch- You are interested by the banking sector- You are analytical minded and results oriented Salary and BenefitsOur Read more […]
Associate / AVP – Compliance Officer recruitment
Hong KongGood career prospectMulti-cultural environmentReporting to the Head of Compliance, you will be fully responsible for:Monitoring and implementing compliance surveillance frameworkConducting compliance reviews and ensuring regulations are policies are adhered toProviding timely compliance advisory services and approvals to business and functional unitsDeveloping and reviewing testing program and controls relating to investment guidelinesMonitoring business activities and implementing specific measurements as necessaryEnsuring AML and personal investment processes and systems comply to regulatory Read more […]
Compliance Officer recruitment
The OpportunityMy client is a global Investment Company (management and distribution of Investment Funds) part of a big and international financial institution operating in more than 50 Countries.In order to reinforce the Legal Compliance Department in Luxembourg I’m recruiting a Compliance Officer.The Responsibilities*Ensure compliance of the Company with its obligations as a UCITS Management Company in respect of its management of UCITS products;*Oversee the operational environment of Luxembourg domiciled products and its compliance with Luxembourg regulation and other Group Compliance policies;*Provide Read more […]