Compliance Officer recruitment
Key Responsibilities: Reporting to CEO and the Audit Committee, you shall be involved in the development of policies and procedures and to ensure on-going compliance with:MAS notices and guidelines to CMS license holdersMAS reporting and on-going obligationsProperty Fund Guidelines, SFR–LCB, SFR–FMR, SFASGX listing requirementsRequirementsPositive working attitude – responsible, adaptable, and willing to learnIndependent, highly organised and possesses initiativeMinimum 2 years relevant experienceFamiliar with the regulatory frameworks in SingaporeAble to commence work within a month of hireGood Read more […]
Compliance Officer recruitment
Job Description A large foreign bank is seeking a Compliance Officer that will be responsible for transaction monitoring and surveillance at the Bank and Broker/Dealer. They will research alerts and conduct thorough investigations and document results. The person will conduct regular surveillance activity as defined by Bank and Broker/Dealer policy and procedures. They will work with internal systems to complete regulatory reporting (SARs) to FinCEN. Key Responsibilities • Analyze transactions and transaction patterns related to Private Bank client activity to identify specific Read more […]
Compliance Officer recruitment
New Hedge Fund CompanyNewly Created PositionGreat Career Prospect Responsibilities Handle and advise on all regulatory related mattersManage the company’s regulatory riskPerform all compliance monitoring such as investment guidelines monitoring, best execution monitoringHandle and review all business agreements such as investment management agreement, distribution agreementPrepare and update compliance policies, including but not limited to AML / KYC policiesCoach and provide training to staffReview all sales and marketing materials of products preferably complex products involving multiple asset Read more […]
Solvency II – Compliance Officer recruitment
THE COMPANY• Our client is a leading global consultancy offering Insurance support, management and governance assistance to specialist insurance firms.RESPONSIBILITES:• Monitor regulatory requirements and emerging best practice with regard to Solvency II, and to ensure awareness of them• Identify any actions, practices or procedures necessary for clients to comply with Solvency II and to report with respect to same on a continuing basis• Develop, implement and complete a compliance plan to ensure effective compliance monitoring Read more […]
Compliance Officer recruitment
Compliance Officer Are you looking to work for a growing company in the online spread trading sector? Do you have a background and appropriate qualifications in Compliance? Our well established client is growing substantially, whose clients all over the world it is regulated under MiFID and the Irish Central Bank and is strongly focused on providing world class services that meet all its obligations. Responsibilities will include: Regulatory reporting on all aspects of the firmrsquo;s capital position Full responsibility for Client Asset Requirement processes, Transaction Client Data Read more […]
Compliance Officer recruitment
Rapidly growing 10 year old investment advisory firm based in NYC has an exciting opportunity for a Compliance Officer. Our firm’s primary focus is the management of mutual funds, managed accounts and private funds. Investments in these funds include global equities, options, swaps, and credit instruments.Our organization is extremely focused with an enthusiasm and team spirit that we take great pride in. The position affords a very competitive compensation and benefit package to the right candidate.If you are interested in discussing the possibility of joining our organization, please contact Read more […]
Compliance Officer recruitment
The US parent company operate as a full-service investment bank, however the intention is that the London entity will initially be authorised to operate as matched principal broker with a focus on a range of Fixed Income and Equity instruments.This is an interesting and varied role with core responsibilities including (but not limited to):• Maintaining and updating the compliance manual and procedures/registers• Update compliance procedures and ensure that regular monitoring is carried out• Ensure that the firm has thorough KYC/AML procedures that are effectively carried out• Look after Read more […]
Compliance Officer recruitment
You reponsibilities will include:1. Contribute to ensuring the functions of Compliance within Wealth Management are carried out in accordance with applicable laws and regulations and is smoothly carried out without interruptions or problems2. Assist the Head of Ethics Compliance in ensuring the accomplishment of the Department’s mission3. Assist the Head of Ethics Compliance in implementing procedures as a result of changes in local laws and regulations and updating such rules and regulations4. Implement and update policies and procedures related to KYC, Prevention of Money Laundering and Fight Read more […]
Compliance Officer recruitment
Our client is a well known financial services provider, whose client base includes Multinational Banks, Global 1000 companies, investment management firms, international real estate investors and high net worth individuals. They are currently seeking a Compliance Officer for a senior level supervisory role within the organisation. This is a challenging, extensive and varied role which will enable the right candidate to further their career within the financial services sector. The RoleThe Compliance Officer is responsible for securing compliance with all local regulatory legislation guidelines Read more […]
Compliance Officer recruitment
Duties and Responsibilities:The primary responsibilities of the position are to provide compliance support to Knight Execution Clearing Services’ Knight BondPoint Division. Work with management to formulate, develop and implement supervisory, surveillance and control procedures, systems and audits. Follow-up and seek resolution of issues identified through the firm’s supervisory and surveillance process. Interact with the Firm’s regulatory authorities on examinations, inquiries and rule development initiatives. Work with risk and credit departments to ensure that appropriate controls Read more […]