Manager, Compliance recruitment
A prestigious financial institution is looking have a new headcount to support its compliance function in the Asia Pacific!Successful candidate will advice on Compliance and Regulatory matters, including the development and implementation of monitoring and surveillance programs for the firm and lending proactive support to ensure global policies and best practice standards are effectively implemented.Requirements:Min. 5 years of Compliance experience, preferably with an Asset Management FirmStrong and proven Singapore compliance knowledge and experience to serve as subject matter expert on compliance Read more […]
REGIONAL HEAD OF EMPLOYEE TRADING & INFORMATION BARRIER – SURVEILLANCE, COMPLIANCE recruitment
Our client is a major global financial services provider engaged in investment banking, private banking and investment management services with an extensive international presence. To cope with their business expansion, they are seeking an outstanding Compliance professional to join them.Coordinate regional compliance oversight of policies and procedures which govern Employee Trading and Information Barrier Surveillance. Proactively assess surveillance results and to identify control concerns or surveillance weaknesses. Assess the effectiveness of established Compliance Surveillance and work with Read more […]
Director, Compliance recruitment
My Client is a leading global investment bank who offer the full suite of investment banking activities in Asia including ECM, DCM and MA/IPO work. Following a period of stability for the bank in recent years, my client are now looking to add an experienced Compliance professional to their existing Equities Advisory Compliance team. An opportunity has arisen for an experienced Compliance professional to join the Compliance Advisory team based in Hong Kong covering their Equities business. This is an opportunity to join a leading organisation who place a large amount of emphasis on their governance Read more […]
Vice President, Compliance recruitment
– Provide advice and support for the Branch’s Compliance Risk Management Framework. – Provide sound and timely compliance advice to management and business units on local laws, regulations, formulate and document compliance procedures to address regulatory compliance requirements, provide compliance input in relation to new products and new initiatives. – Review the bank’s internal policies, procedures and guidelines. – Organize and conduct internal compliance training to employees.
Vice President – Compliance recruitment
Ziegler Lotsoff Capital Management, an innovative investment management firm with locations in Chicago and Milwaukee, has an opportunity for a motivated individual to join our team as Vice President of Compliance to assist the Chief Compliance Officer in administrating the policies and procedures for the registered investment company and adviser. We offer a competitive compensation and benefits package along with a dynamic working environment. Qualified candidates should send their resume, cover letter, and desired salary to by clicking “APPLY ONLINE:Duties Responsibilities:Assist the chief compliance Read more […]
Manager, Compliance recruitment
Eastspring Investments, part of Prudential Corporation Asia, is Prudential’s asset management business in Asia. We are one of Asia’s largest asset managers, with operations in 12 markets, approximately 2000 employees in Asia and about US$85 billion (£53.4 billion) in assets under management (at 31 March 2012). We are one of the largest multi-national onshore mutual fund managers in the region. About half of our total assets are sourced from third party clients and we manage funds on behalf of a wide range of retail and institutional investors, including life and pension products sold by Prudential Read more […]
Financial Reporting – Supervisor – Banking Returns, Tax, Compliance recruitment
Supervisor (Financial Reporting)ResponsibilitiesReports to Deputy General ManagerCheck statutory banking returns and further dispatch to HKMA via STET software;To liaise with HKMA for all enquires an related matters;Manage AML controls described in Branch’s AML Policy/Procedures;Check Surveys submitted to governmental authorities;Liaise with Audit firm for matters relating to the branch operational audit and profit tax computation;File Annual Returns and other information to Companies Registry Requirements University graduate in Accounting/Finance disciplines (not must if solid relevant experiences)Preferably Read more […]
VP/Compliance recruitment
Specifically, you will be responsible for:providing sound and considered regulatory advice to senior management in-country, regional and group management and the business units that you are supporting.Formulating and documenting compliance procedures to address compliance requirementsproviding compliance input in relation to new products and new initiativesproviding training to create greater compliance awareness and to promote compliance as a business enabler within the organisationkeeping abreast of the development in the regulatory environment and advising the key stakeholders of its implicationbeing Read more […]
Business Analyst – FATCA / Compliance recruitment
Market Operations and Technology (MOT) provides technology and market operations to Macquarie’s businesses.The technology team aligned with the Banking and Financial Services Group (BFS) is seeking an experienced Business Analyst to join the FATCA Compliance Program. Reporting to the FATCA Program Manager you will be responsible for leading the business analysis activities required to ensure BFS understand what is required and how it will implement these requirements to ensure BFS will meet its compliance obligations under the FATCA legislation.Key to this role will be demonstrated understanding Read more […]
AVP, Compliance recruitment
Reporting to Head Relationship SupportResponsibilities:Work with Regulatory Compliance Unit and Quality Assurance to ensure that the department’s processes meet internal and regulatory compliance requirementsConduct briefing to staff where necessary on changes in regulatory controls that are relevant to the FI PortfolioMonitor the schedule for Customer Due Diligence checks and ensure these are conducted on timeUndertake review of transactions (including establishment or renewal of RMA) with RMs to see if these are within the established CDD/KYC profile Manage the department’s Regulatory Read more […]