Associate, Compliance recruitment
Role Description for Associate, Compliance (Equities) The successful candidate will be responsible for (but not limited to): Providing advice to the business as regarding to specific compliance issues. Interact with relevant regulatory bodies including SFC regarding compliance with existing regulations and stay up to date on upcoming changes. Ensuring that internal documents and manuals are updated according to changes in local regulations, best practice guidelines and group frameworks. Co-ordinating with Desk Review teams to ensure potential areas of risk are identified and mitigated in a timely Read more […]
Audit / Compliance recruitment
Our Client, an International Bank has a dynamic Internal Audit team covering Hong-Kong and Singapore. The team performs risk-based audits across 11 countries in the region, and is also providing advisory services to senior management. The team covers all businesses including Global Markets, Investment Banking, Wealth Management, Asset Management, and Merchant Banking.They are looking to hire the following:1)Business Auditor ( Senior Associate Level)2)AVP Internal Auditor ( IT Audit Experience and AVP)3)Compliance ManagerRequirements:The candidate must be fluent in English and possess strong communication Read more […]
Compliance recruitment
Duties:Conduct and manage due diligence eg on foreign investment restrictions, trading restrictions, disclosure obligations, exchange rules and regulations and maximising of tax efficiency* provide strategic advice for optimal execution of investments* review agreements with counterparties and other operating agreements* instruct and manage external advisers* conduct business impact analysis* handle regulatory applications and reports* forewarn, advise and maintain communications with stakeholders* put in place a system, process, procedures to assure and monitor compliance* prepare risk and compliance Read more […]
Associate Director – Compliance recruitment
Director Level Compliance Opportunity Leading Global Investment Bank Senior Stakeholder Exposure throughout the Business Global Banking Markets Summary: My client is a top tier Global Investment Bank that is looking to continue its strong performance by attracting a Senior Global Markets Compliance professional. You will be advising on and monitoring all aspects of Global Markets businesses but with specific responsibility for Equity Derivatives. This is a fantastic opportunity for a top performing compliance officer who has expert knowledge on equity derivatives product to progress their career. Requirements: 8-10 Read more […]
Senior Manager – Compliance recruitment
Our client is a global asset management company who is currently looking to recruit an interim senior manager – Compliance, UK Distribution.The successful candidate will work with UK Distribution, Group Compliance and Internal Audit to provide reasonable assurance of Distribution’s compliance with its regulatory obligations and the effectiveness of the control environment. Duties include;-To provide advice on all relevant regulatory matters across all areas of UK Distribution and work closely with senior management on any compliance issues that may arise. -To coordinate with the Head of Compliance Read more […]
Manager, Compliance recruitment
Manager, Compliance Industry: Financial ServicesLocation: Toronto, OntarioStatus: Full-TimeSalary Scale: $75,000.00 to $85,000.00Excellent Bonus Package! Great Opportunity with Investment Fund Company based in Toronto! Our client is actively looking for a Manager, Compliance to oversee the monitoring, and review of compliance for its retail investment funds. This full-time opportunity will put the Manager, Compliance in charge of the daily supervision of compliance coordinators in addition to providing oversight, reporting and review of team activities. The Manager, Compliance will Read more […]
Manager – Compliance recruitment
This established life insurer, with a strong presence in Europe and Asia, is seeking looking to secure an experience candidate for their Compliance team. Reporting to the Department Head this role will involve: Responsibilities: Conduct compliance review on suspicious reports and high risk areas. Prepare various compliance reports and compliance risk assessment. Keep other departments abreast of compliance requirements and provides compliance guidance Conduct research in regulations, compiling information and updating company’s relevant policies and procedures. Provide and arrange training Develop Read more […]
AVP, Compliance recruitment
Global Asset Manager are seeking to appoint an experienced Compliance individual in to the existing team as below.Global business with multiple locations across Asia and globally.Double digit $BN AUM.Summary of AVP, ComplianceGlobal Asset Manager are seeking to appoint an experienced Compliance individual in to their existing Compliance function in Hong Kong.With a broad and varied investment offering across Equities, Fixed Income and Alternatives, this independent house are well placed to continue their growth in 2012. Summary of requirements for AVP, Compliance5+ years experience within Compliance Read more […]
Manager, Compliance recruitment
Our client, a major Canadian fund company based in Downtown Toronto, is actively looking for a Manager, Compliance to join its organization. Assuming this full-time position and reporting to the Assistant Vice-President of Compliance, the Manager, Compliance is to be responsible for managing relationships with respect to both the Sales and Product Management groups concerning sales practices and communications compliance. The Manager will be responsible for compliance training of new employees, will manage a small team and will function as the point person for any ad hoc projects that may arise. Read more […]
Assistant Vice-President, Compliance recruitment
Highly visible career opportunity for experienced OSFI compliance professionals!Our client is an international bank with a location in Downtown Toronto and is actively looking for a Certified Anti-Money Laundering Specialist to fulfill a newly created position in the title of Assistant Vice-President, Compliance. This is an excellent opportunity to be in a decision-making role and to be hands-on in the development of a compliance framework. Reporting directly to the President CEO, the AVP, Compliance will oversee the banks corporate AML/ATF compliance policies; ensure privacy legislation and Read more […]