Complaints & Disputes Manager
Joining a high performance team this role is responsible for complaints and disputes resolution within this high profile advisor network. Key responsibilities include;providing general advice on a variety of disputes and complaintspreparation of documents and responses to complaintsexplaining and negotiating remediation with affected clientsmanaging responses to various regulatory bodiesinterpreting policy wordings as requiredTo be successful, you will have demonstrated experience of internal and external disputes within Financial Advice and Planning along with well developed problem solving and Read more […]
Compliance officer
My client has an expanding compliance team here in Singapore, they are a true global multinational top tier firm and a desired brand within the global market place. This role is based within the compliance function and calls for people with some private banking product knowledge/experience. You will sit within a core monitoring and surveillance team and have excellent growth and career potential, this role will suit you if you are somebody who is looking to enhance or start a long term career in compliance . For more information on this role click apply or contact Scott Townend on 6510 1355 Read more […]
Regulatory Compliance
Proactively assist the management in its prime responsibility of complying with relevant • review of clients’ profiles. Review the client adoption and Know Your clients policies/procedures, including the • staff training, client due diligence, client reviews and transaction monitoring. Ensure appropriate compliance arrangements are in place including compliance policies, regulations to ensure that the Bank is able to conduct its business within applicable laws, directives, rule and regulations, and in accordance with the Bank’s Group Policy General Role Description • Key Features of Read more […]
Regional Head of Trade Surveillance
Build a trade surveillance function from scratchManipulation and misconduct, AML, e-communicationsBuild and manage a teamA leading international investment bank is seeking a Regional Head of Trade Surveillance to join their team here in Singapore. This is a unique opportunity to establish a local surveillance team to monitor market manipulation and misconduct, Control Room related issues, insider trading, AML and misuse of electronic communications.Responsibilities:Build and manage the regional Compliance surveillance function, including documenting local regulatory requirements and developing Read more […]
Compliance Monitoring Manager
Our client, a Global Financial Institution is looking for a Compliance Monitoring Manager to provide guidance and advice on all aspects of monitoring activities across private banking business. The individual would help to develop and maintain regulatory standards to enhance and protect the reputation of the firm. Duties include: Provide regulatory advice related to products, services and clients to address the risks associated with private banking business. Be responsible for all aspects of compliance monitoring, including implementation of best in practice standards, policies and procedures and Read more […]
Compliance Monitoring Officer
Our client, a Global Financial Institution is looking for Compliance Monitoring Officer to help plan and execute the compliance monitoring plan which oversees the Asset / Wealth Management business. The individual would support the Compliance function in identifying and mitigating risks across the business and help promote a proactive compliance culture within the firm. Duties Include: Prepare compliance risk assessments involving active participation from senior management. Carry out preparation and fieldwork in respect of monitoring and review work. Assist in executing the compliance monitoring Read more […]
Assistant Compliance Officer / Compliance Officer (Foreign Exchange)
You will be responsible for: Liaising and dealing with relevant regulatory authorities (eg SFC) Correspond with internal and external customers on compliance issues, such as Client Complaints, Trade Audits, FX License registration and examinations Coordinate with global Compliance Department Monitoring of standard business activities, functions and practices to ensure compliance with regulations and policies Provide compliance training (eg. AML CPT) to in-house staff Provide assistance on ad-hoc investigations in order to get background information to provide advice and recommendations Assist Read more […]
Risk and Audit Specialist Job
Risk and Audit Specialist (Job Number: 1316459)DescriptionResponsible for coordination of Managed Investments audit needs. Eamples include; SSAE 16 faciilitaion including liaising with the third-party auditor to define controls, walkthrough meeings, setting testing criteria and sample population, management of all requests from the auditor and internal coordination and document review prior to providing to the audit and role is responsible for escalation of potential issues to senior management; coordination with Internal Audit for Managed Investments including walkthrough meetings, tracking of Read more […]
Compliance Analyst IV Job
Compliance Analyst IV (Job Number: 1316579)DescriptionSupports management in the day-to-day efforts related to compliance with laws, rules, regulations and related policies. The incumbent performs research, analyzes relevant compliance-related information and makes recommendations on necessary procedural/control changes on more complex compliance matters. Additionally, is responsible for understanding trends in the industry and making policy recommendations. Responsibilities may include verifying practices against policies, preparing of management reports and counseling business personnel on compliance Read more […]
Management Level – Fair Lending Compliance Role at Leading Consumer Bank | New York
Management Level – Fair Lending Compliance Role at Leading Consumer Bank | New York – USA Location – New York Salary – Dependant on Level of Expertise Description This role will report directly into the Head of Compliance within the function, and will have international reporting lines within the bank as well. The position is centralised around the Fair Lending Compliance Program and will involve mentoring juniors within the team. The roles responsibilities will include:Regular interaction with Consumer Banking groups globally and other key stakeholders Providing regulatory advice to Read more […]