AVP, Compliance Officer recruitment
As the key compliance contact in Singapore, the Compliance Officer supports the firm by monitoring and assuring continuous compliance with Singapore rules and regulations. The candidate is specifically responsible for: corporate housekeeping for Asia contract review for Asia marketing materials review for Asia providing assistance with Australia compliance The successful candidate should possess: 5-7 years of working experience in a compliance and/or risk control function in a financial institution Previous experience working in investment banking preferred A high degree of flexibility and the Read more […]
Compliance Officer recruitment
The Opportunity Dynamic, growth-oriented financial services firm seeks a Compliance Officer for a broker-dealer firm. The primary responsibility of this compliance position is to ensure the ongoing development and implementation of an effective compliance program including, but not limited to, development of policies and procedures, manuals, and surveillance reports. Qualified candidates must have proven abilities in the areas noted below: Core Responsibilities Working knowledge of SEC and FINRA regulations. Specific experience in developing, implementing and enforcing a detailed Read more […]
Compliance Officer recruitment
Operating within a small team, an opportunity has arisen for a Compliance Officer to take on responsibility for the full scope of the client’s compliance and regulation. Key responsibilities include but are not restricted to: Represent the client to the FSA, monitoring the client’s adherence to FSA rules and amending internal policy as appropriate Ensuring that the firm’s client take on procedures are properly carried out Ensuring that the firm’s financial promotions comply with the FSA rules and that the firm’s procedures are properly implemented Obtaining Read more […]
Compliance Officer recruitment
Opportunity- To provide assurance to the PRUPIM Board that the compliance framework is robust and operating effectively.- Champion the development of the compliance framework across PRUPIM. – Be a point of contact for business areas to provide guidance on all compliance related matters. Key responsibilities- Responsible for delivering the Annual Compliance Plan.- Maintain an effective relationship with MG Legal and Compliance and other internal stakeholders.- Develop and embed a structured compliance monitoring plan, working with MAGIM Compliance in relation to the regulated activities. – Take Read more […]