AVP/VP- Business Compliance (Regulatory) (Ref.no: AVP/VP-BCR/DK141211) recruitment
As a part of their growing business in the region and change in regulatory requirements, they are seeking for an experience candidate to join their Compliance Risk team in Hong KongAs a key point of contact in compliance you will take lead in managing the group wide Anti-money laundering compliance program. You will be responsible for drafting and/or enhancing, reviewing and maintaining an ongoing basis group level policies, procedures and guidelines around AML and implementing a robust early warning system across the group to help militate against AML risks. You are required to develop and roll Read more […]
AML Advisor – Private Bank recruitment
The RoleThis is a broad based role whereby you will need to think on your feet, handle changing priorities and confidently champion a culture of compliance across the business.Other key tasks may include but not be limited to:Identify risk and gaps where new policy or procedure is neededPartner with the business to provide a commercially focused advisory service without minimizing control standardsMaintain enhanced controls for high risk clients and contribute to the identification and approval process of such clients.Maintain policies and procedures in accordance with regulationExperienceThis Read more […]
Assoc Director – Group Legal & Compliance Assurance Team recruitment
£Excellent package + £4,999 Car AllowanceRef: PJ/PA/03Assoc Director – Gp Legal Compliance Assurance DivOur client, which is a very well known recognised player in the FS Markets, seeks an AD toprovide reliable, valued assurance to the Group Head of Compliance (Group Principal Risk Owner) over compliance in relation to the application of particular internal rules policies, external regulations, and, where applicable, local laws and restrictions pertaining to Legal Regulatory Compliance and Financial Crime.The core responsibility of an AD is to plan, manage and where appropriate execute conformance Read more […]
EMEA KYC Regional Manager recruitment
S enior VP level – KYC Regional Manager – EMEA – LONDONMy client, a top-tier investment bank, is seeking a S enior KYC Manager to join their team in London on a permanent basis. The successful candidate will be reporting directly to the Head of EMEA Client On-boarding and KYC. The department ensures compliance for new clients, existing clients and clients that are conducting business not currently complying with new regulatory changes. You will need to be able to face-off to the business, communicate confidently with sen ior stakeholders and regulators as well as partnering closely with EMEA compliance Read more […]
Compliance Senior Manager – TCF recruitment
Financial institution based in London is looking for a Compliance Manager to manage their Customer Treatment team.To manage the Customer Treatment team within Corporate Markets Compliance, in order to deliver a quality compliance service to help ensure that the business area/business undertaken is in adherence with all relevant internal and external customer treatment regulatory requirements principles. This is a newly created role which will form a key part of the Regulatory Risk Management function within Compliance helping to ensure that Conduct Risk is appropriately managed.Implement a compliance Read more […]
Legal VP, Commercial Banking (5+ yrs pqe) Beijing or Shanghai recruitment
You will help develop standard-form documentation, work with credit specialists on one-off transactions and advise local staff on legal issues. Experience working with emerging markets would be a plus, and a strong knowledge of banking/financing law (including lending) gained at top-tier law firms or financial companies is required. Ref: 10279/EFLearn more about this position now or apply today by contacting Hughes-Castell:+Call: +86 10-6581-1781+E-mail Eric He: ehe@hughes-castell.com.hk+Find the latest new jobs: http://www.hughes-castell.com.hk/ Read more […]
Senior Lawyer, Banking & Finance – 6+ PQE recruitment
A growing international firm, the leader in its home country and now with 9 offices on 3 continents, is expanding its Hong Kong banking and finance practice with the addition of a senior lawyer.The successful applicant can anticipate a variety of Hong Kong inbound and outbound work, including significant interface with clients doing business in mainland China and continental Europe, as well as locally.The new person will work with the local practice’s managing partner, also a specialist in Banking and Finance.It is essential that applicants:– Are Hong Kong-qualified solicitors with a minimum Read more […]
Regulatory Compliance, Fixed Income Operations recruitment
In particular, individuals will be involved with Regulatory developments in the region, driving initiatives to implement new requirements, and undertaking special reviews for key areas within Operations. Responsibilities may also include working with third parties on Regulatory exams. Strong emphasis on Fixed Income Compliance. Knowledge of FOCUS reporting and 15c3-1 and 15c3-3 is helpful.Monitor fixed income reportable trades for both TRACE and MSRB. Perform audits on fixed income tradesCoordinate with FINRA on all fixed income regulatory inquires.Audit Operations for compliance with FINRA Read more […]
Professional Support Lawyer recruitment
My client, one of the most well-established law firms in Luxembourg, is looking for an expert support lawyer to join the department in which each support lawyer selected specialises in.To be considered, the candidate must :Have a major experience in his field of specialisationHave deep experience in law firms in Paris, London or LuxembourgBe a very good technicianBe able to deal with all the researches that would have to be made within the departmentBe efficient and proactivehave very strong academic skillsbe fluent in English and French. Any other language would be considered as an advantage.Keywords: Support Read more […]
Senior Legal and Compliance Manager — Private Bank – based in Switzerland Zurich recruitment
This is an attractive and interesting role for an ambitious and motivated Legal and Compliance Officer who is keen to step up into a Senior Legal and Compliance role.Main tasks include:– assisting Global Head of Compliance on international matters– co-operating with FINMA– advise the front office staff in Switzerland– leading projects in the international contextBasic Requirements:– 5-10 years of experience– Bar Exam– Fluency in German and English– previous Compliance experience not essentialTo apply for this Senior Legal and Compliance Manager role in Zurich please send your CV to compliance@carltonseniorappointments Read more […]