Compliance Director, Enterprise Services Job recruitment
Compliance Director, Enterprise Services-712933 Description Director The Staff Compliance Team is recruiting for a Compliance associate to provide Compliance advisory support for Enterprise Services, which includes Digital, Brand, IT, and Payments. In addition, support for Global Finance and Corporate Areas, including HRCRE, CRG, and Risk Management is needed. The associate will be responsible for identifying, assessing, and documenting compliance risks and associated controls within new areas/initiatives such as mobile and existing processes touching E-Commerce/digital and payments processing. Read more […]
Compliance Manager, Monitoring (Global Markets) recruitment
Role: Compliance Manager, Monitoring (Global Markets)Purpose of the jobReporting to the Global Markets Monitoring Team Leader, the jobholder will be required to carry out independent compliance monitoring activities across Global Markets in order to obtain reasonable assurance that the business is operating in line with relevant laws, regulations, codes and HSBC Group Standards.Responsible For• Carry out thorough preparation and high-quality monitoring fieldwork / desk reviews, achieving agreed timelines and providing regular updates on progress to the Team Leader. • Using existing templates, Read more […]
Investment Advisor Compliance Officer recruitment
Major Duties and Responsibilities• Involved in all aspects of the investment advisory business from a compliance stand point• Design and implement robust enterprise-wide compliance program to identify, monitor, review, and test areas of regulatory compliance risk• Manage the Code of Ethics program• Interface with senior business and investment leaders on a daily basis to provide regulatory guidance on investment transactions and respond to regulatory inquiries regarding firm activities• Participate in audits and assist in the management of regulatory examinations• Perform employee Read more […]
SVP, Equities Compliance recruitment
Attractive SalaryExcellent Career ProspectsAbout our ClientOur client is a stable banking group with well-established business in the region. They are now looking for a high-caliber, mature Compliance professional to take on a leadership role for their Equities Compliance team in Hong Kong.Job DescriptionReporting to the Regional Head of Compliance, you will be responsible for: Providing compliance advices to the Equity Derivatives business in their daily business operations Sitting with the equities sales and trading business and supporting them on new business initiatives from the compliance Read more […]
AML – Business Analyst recruitment
Job Title: AML – Business Analyst Salary: HKD $610,000 – $920,000 Location: Hong Kong Summary: Recognised globally as a Top Tier Investment Bank our client is looking to strengthen their Core Compliance Team inHong Kong. You will be initially involved in regulatory driven change projects focusing on the client on boarding, KYC and AML functions. This is one of the most important initiatives for our client and will offer you excellent exposure, leading to great career progression. Requirements: Full lifecycle Project Management capability. Experience of working with regulators such as HKMA Read more […]
Corporate Tax manager – Financial services recruitment
What makes working for PwC worthwile in every regard? It’s our clients. We help them to achieve the objectives that are important to them and their companies. It’s the inspiring colleagues in Switzerland and on international projects. And it’s you. You can achieve what is important to you thanks to the wide range of opportunities and strategic development in assurance, tax legal and advisory services. For example in Geneva as a Corporate Tax manager – Financial ServicesYour job:Providing tax consulting services to Swiss and international clients, in particular Swiss and foreign banks as well as Read more […]
Reg Head of Transaction Banking Compliance recruitment
Key Roles Responsibilities Product and business advisory work * Drives the programme for identification of material regulatory and reputational risks in the region for the business. * Anticipates and assesses key regulatory and product risk trends in the business for management consideration and helps drive the development and implementation of appropriate mitigation control measures. * Oversees the continual assessment of regulatory risks associated with existing products and those under development in the region. * Represents TB Compliance in the regional governance of the TB business. * Assists Read more […]
Compliance Manager – Regulatory Developments recruitment
Global Investment Manager is looking for a Compliance Manager for their Regulatory Developments area.Overview of role:Keeping track of developments in regulatory requirements, industry codes of practice and internal policies.Reviewing, assessing and advising on publications from FSA and central bank of Ireland and relevant EU bodies. Reviewing material produced by trade bodies and keeping abreast of current industry thinking.Assisting with updating relevant manuals and procedures in response to changes in regulation or industry developments.Providing training on changes to relevant policy or procedures Read more […]
Compliance Officer – Stock Broking recruitment
Essential Experience: You must have worked in or had signifacant exposure to a stock broking / private client business.Significant FSA focused compliance experienceProcess driven and a quick learner – constantly reviewing for areas of improvementExcellent people skills and ability to work with people at all levels and influence othersExposure to CFD’s and Spread BettingIdeally you will have primary markets exposure Responsibilities: Carry out CF10 (Compliance Officer) and CF11 (MLRO) duties – because of the nature of the invitation only clientbase it is a low risk business. Co-ordination Read more […]
Compliance Officer – Bahraini national recruitment
Compliance manager looking at KYC, AML, local regulatory guidelines and in house policy and procedures. Financial services experience and background essential