Legal & Regulatory Counsel recruitment
* Proactive management of legal and regulatory compliance risks for Wealth Management and Bancassurance businesses in Singapore. * Act as a central point of reference for wealth management and bancassurance legal and compliance issues for country, Group, business and functional stakeholders. * Effectively manage the process of engaging external counsel, including providing effective instructions to external counsel and negotiating appropriate fee structures for the transaction in question. * Work with Group Wealth LC and Country LC functions to ensure that robust local product/provider diligence Read more […]
SVP/VP, Compliance (Global Banking & Markets) recruitment
Reporting to the Head of Compliance for HSBC Group, Singapore, this role will primarily support a key customer group in HSBC: Global Banking Markets (GBM). The role entails advising on and monitoring all aspects of GBM businesses to ensure that the business is conducted in accordance with all applicable laws, rules, regulations and codes of practice. The jobholder is also expected to assist the Area Compliance Officer (ACO) in managing bank wide/cross functional compliance and compliance related projects from time to time.Job Responsibilities:Identifying and highlighting compliance risk issues Read more […]
Compliance Manager needed at Corporate and Retail Bank recruitment
My banking client that has a long standing international presence in corporate and retail banking is looking to hire several Compliance professionals that have worked extensively in quality assurance to ensure the bank’s customers receive fair outcomes in all their interactions. As a Compliance manager, your responsibilities will include: – Develop and execute compliance reviews on the effectiveness of compliance controls in the business and the fairness of customer outcomes. – Carry out regulatory and conduct risk assessments, gap analyses and challenges of business monitoring plans – Provide Read more […]
Compliance / Regulatory Consultant recruitment
This top Consultancy firm are seeking an experienced Compliance / Regulatory professionals to join their Financial Services Regulatory Practice.You will work with a number of well known Financial Services firms on various projects. You will hold an autonomous role which will involve providing advice and guidance in regards to Regulatory and Compliance issues to senior management. You will also get involved in Solvency II and other high profile and upcoming Compliance, Governance and Regulatory projects.The right person for this role will have strong Compliance / Regulatory experience gained from Read more […]
Hong Kong Capital Markets Lawyer – Private Practice (Ref.no: HKCML/SW030212) recruitment
Our client is a leading global law firm that has been serving the Asian market for nearly 40 years. With over 100 lawyers it has established itself as a major player in the market offering a full range of legal services, with most lawyers speaking multiple languages. The successful candidate will be joining the China Corporate Finance Group. They will be providing a capital markets legal service. They will be expected to work on IPOs, listing rules and compliance regulations, some of these deals will be China-related. To be considered for this position the successful Read more […]
Crime Compliance – Due Diligence recruitment
Position description, responsibilities and reporting linesUK Financial Crime Compliance supports RBC Capital Markets and International Wealth businesses to manage financial crime risk including money laundering, terrorist financing, economic sanctions, bribery corruption and fraud through advising, monitoring and investigating adherence to relevant regulatory rules and industry standards. The candidate will be responsible for providing coverage to both Capital Markets and International Wealth.Under the supervision of the Group AML Fraud Officer for Europe and Asia, the Candidates responsibilities Read more […]
x2 Associate/ VP – Financial Crime Analytics recruitment
Assist with the management and development of the global anti financial crime coordination programme Relationship management with key business areas and infrastructure stakeholders that are key dependencies for successful financial crime analysis Critical review diverse data sources to identify sources of risk indicators to feed the ongoing development of anti financial crime analysis Responsible for ongoing data sourcing and management (e.g. quality assurance, analysis, and the production and distribution of Management Information). Analysing and filtering industry information, and undertaking Read more […]
Compliance Officer – Global Financial Insitution – Geneva recruitment
Our client :A global financial institution with over 200 years of history and over 9000 offices worldwide, our client is not only specialized in wealth management but also is locally present with over 150,000 shareholder and 50 million customers worldwide. Job description:Responsibilities include:Transaction monitoring of new accounts and existing accounts (AML, KYC, cross-boarder, suitability) Due diligence review Understanding and reviewing compliance regulation according to internal and external regulations (FINMA) Ad hoc projectsReporting to the head of compliance Your Profile:You Read more […]
Compliance Officer/Deputy MLRO – Investment Management Business recruitment
The OpportunityOur client is a well established investment management business with operations worldwide. Due to continued growth, the firm has a rare opportunity for an experienced Compliance Officer/MLRO based at their London office. Reporting into the Head of Compliance, you will be responsible for compliance issues relating to the legal services and investment management businesses in London, and the legal services business in Geneva. You will be required to act as Compliance Officer, Deputy Money Laundering Reporting Officer (MLRO) and Data Protection Officer for the two operational entities Read more […]
Junior Compliance Associate recruitment
A boutique broker-dealer is seeking a junior compliance associate to join their Legal Compliance department. This person will have direct contact with both the Chief Compliance Officer and General Counsel. Responsibilities will include: – Assisting in trade reporting and employee trading activities – Prepare for branch audits – Assist senior executives in preparation for regulatory exams – Provide administrative support to the General Counsel Requirements: – Familiarity with OATS – Experience with TRACE reporting – Series 7 a plusPlease send your resume/CV to Larry Florio at Larry.Florio@roberthalf.com Read more […]