Senior Compliance Associate – Control Room recruitment
Responsibilities include:* Managing daily monitoring of employee trades, including pre post trade clearance, exceptions, appeals, and resolution tracking; * Applying the organizations policies and procedures to assess employee securities transactions and holdings for potential conflicts;* Managing and maintaining restricted lists; research securities, such as global equities, bonds, and mutual funds, for assignment to restricted lists;* Provide support of employee securities trading classifications, restricted lists and exempted securities;* Research and review of equity positions and other Read more […]
Corporate Paralegal recruitment
In this role, you will assist and support the Corporate Paralegal Supervisor covering Asia Pacific, will also be providing support on a full range of corporate secretarial services with the organisation. You will be required to draft company resolutions, minutes and other secretarial documents as needed to be provided and have close interaction with the Asia Pacific region and other Global offices. Candidates should have a minimum of 5 years work experience in the corporate secretarial experience and paralegal activity. Previous experience in an extensive global corporate environment with Read more […]
Compliance Analyst – Hong Kong recruitment
Reporting directly to the Head of Legal and Compliance HK, the successful candidate will be responsible for managing compliance and regulatory issues relating to the Company across Hong Kong, China and a number of Asia Pacific Regions.Candidates must be educated to degree level, have considerable experience working within a similar role in multinational financial institutions (preferably asset management and/or hedge funds), and have excellent spoken and written English and Chinese (Cantonese/Mandarin).They must also be able to demonstrate a solid understanding of the following areas:• Licensing Read more […]
Snr Compliance Manager – research – brokerage – Securities Firm recruitment
Duties: Provide support to the business on regulatory compliance matters, raising issues to Senior Management and implementing corrective action plans, in particular to brokerage and investment banking businesses;Participate in new product development and ensure that new products conform to regulatory and internal compliance policies;Monitor new account opening procedure KYC review;Review policies and procedures prepared by other departments and provide input to ensure compliance with applicable legal and regulatory requirements;Advise management and business units on all compliance-related Read more […]
Head of AML & Sanctions (Singapore) recruitment
Head of AML Sanctions (Singapore) Priority hire for ANZ Singapore’s Compliance function Key advisor to country senior leadership teams Be Part of the ANZ Super Regional Strategy ANZ is accelerating the growth of its business in Asia. We realise that our greatest asset is our people. That is why we are creating a unique climate of inspiration, leadership, values and great opportunities that will enable the best in the market to thrive as part of our diverse team. The Head of AML Sanctions (Singapore) will provide leadership to promote compliance with ANZ’s Anti-Money Laundering (AML) and Counter-Terrorism Read more […]
Legal Counsel — Citi Transaction Services recruitment
Job Purpose: To assist the Director and Head of Trade Legal for Citi Transaction Services EMEA in providing legal support to the Citi Transaction Services (CTS) EMEA Trade Business. CTS EMEA Trade forms part of the CTS EMEA Treasury and Trade Solutions Department within CTS EMEA. Job Background/context: The Citi Transaction Services Legal Department comprises a team of 17 lawyers (including the Head of CTS EMEA Legal) together supporting the CTS businesses (consisting of Securities and Funds Services and Treasury and Trade Solutions). The lawyers in the department are experienced lawyers – currently Read more […]
Lawyer recruitment
Position Description:Wellington Management is one of the world’s premier investment management organisations. We are a global, privately owned firm that is 100% focused on managing money for institutional investors and mutual fund sponsors. We are headquartered in Boston with ten affiliate offices in the United States and around the world. We have a diversified, balanced, and growing business. Our clients are based in over 40 countries – more than one third of them are domiciled outside the US – and in total they have entrusted us to manage in excess of US$650 billion of their assets. On their Read more […]
Stand alone legal counsel role- Leading US headquartered Fund Manager recruitment
This global fund management organisation manages in excess of USD $660 billion in assets under management composed of mutual funds and other investment vehicles for individuals, institutions, pension plans, trusts and partnerships.They have had an established presence in Australia since 1987 in both the retail and institutional markets and have recently bolstered their Australian offering with the acquisition of a significant local equities manager.Due to this growth they are looking to appoint a legal counsel to be based in the Melbourne office reporting to the regional head in Singapore, responsible Read more […]
Senior Legal Compliance – IB recruitment
Swiss Investment Bank looking to expand their Compliance team. You will monitor all Investment Banking activities which includes a broad variety of financial products, corporate finance and independent asset management. There is a strong legal component to the role in the sense that you are involved in the review and negotiation of contracts.To be considered for this opportunity you must have a legal degree and in-depth knowledge of Swiss legislation. In addition you have worked with a broad range of financial products (structured products, derivatives) and close to the Trading floor for several Read more […]
Compliance Officer – AML – PEP recruitment
Credit Suisse is looking for an experienced AML Compliance Officer to join its teamThe RolePEPs Review potential PEPs from across the EMEA region; Update and maintain the EMEA PEP database; and Assist with AML projects, including the annual PEP reviews. AML and Anti-Corruption Analyse increased AML risk issues (e.g. sanctions and corruption); Conduct AML research into money laundering related issues; Advising on Bank Anti-Corruption matters including onboarding Finders and transactional isuses; Perform AML post-transaction monitoring; Review pre-transaction approvals, including potential reputational Read more […]