Vice President, Compliance, International Brokerage House, 90k+/mth recruitment
The Company Our client is a Global Brokerage firm with strong presence in Asia. Due to the rapid growth in the region, they are looking for a Vice President in Compliance to be a keen member in the compliance function. The Role Reporting to the Head of Compliance, you will be responsible for the following duties – Responsible for formulating strategies, reviewing and establishing compliance policies and guidelines and developing and implementing regular compliance plans Designs compliance surveillance programs and anti-money laundering (“AML”) monitoring functions and conduct compliance monitoring/ Read more […]
Group Legal & Compliance Assurance Technical Conformance Manager recruitment
£ Excellent packageRef: PJ/PA/02Group Legal Compliance Assurance Technical Conformance ManagerOur client, which is a very well known recognised player in the FS Markets, seeks a Manager to provide 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 the role is to support the planning of technical conformance reviews Read more […]
Regional Compliance Manager (Ref: PSH/FIG/JS018DR) recruitment
RESPONSIBILITYEnsure all corporate and Asia region local regulatory compliance requirements are identified and evaluated with effective programs to implement relevant control measures including product initiatives, advertising and communication activities/materials, anti-money laundering, sales practice, etcParticipate in the discussions among committees for proposed change of legislation/ guidelines and new internal compliance initiativesProvide mentoring to managers to enhance their skills in providing compliance advice and monitoring Liaise/coordinate with regulatory authorities for change / Read more […]
Head of Compliance (Hong Kong) recruitment
This candidate will oversee the Compliance activities, support the Firm’s compliance with all relevant laws and rules and to promote a compliance culture within the Hong Kong office. Responsibilities: Develops and oversees policies and procedures related to Compliance mandatesAssists in the development and education of employees related to Compliance initiativesDevelops and manages initiatives to help detect violations of the Compliance mandatesLiaise with regulators and self regulatory organizations responsible for enforcing the Compliance mandates. Involves in all inspections or investigations, Read more […]
Compliance Assessment Group recruitment
Position Category: Legal/CompliancePosition Title: Compliance Assessment GroupJob Level: Vice PresidentLocation: USA – NY – New YorkEducation Required: Bachelors DegreePosition Description:The Compliance Assessment Group within the Morgan Stanley Institutional Securities Legal and Compliance Group is responsible for planning, preparing and executing regulatory and compliance-based reviews. Businesses covered by the Compliance Assessment Group include Sales and Trading, Investment Banking, Research, Commodities/Futures, Prime Brokerage, Bank Resource Management and Operations Divisions. These Read more […]
Compliance Officer (part time) recruitment
Currently the COO holds the CF10 11 controlled functions but as they business grows his workload will increase again and he needs to be able to pass on responsibility for compliance. It is expected that the successful candidate will assume these functions when joining. This is a hands-on compliance role and you will be expected to cover all compliance duties within the firm from compliance monitoring and updating processes through to advisory and new fund launches.You should be able to demonstrate significant compliance experience gained in fund management or hedge funds, and currently hold / Read more […]
VP, Compliance, Private Wealth Management recruitment
Responsibilities:Act as the primary focal point to private banking business for facilitating resolution and escalation of any regulatory compliance issuesProactively build relationship with businesses and relevant regulatorsAdvise, review and approve of new and existing transactions, products and business initiativesWork closely with regional compliance and business unit compliance for the development and implementation of compliance initiativesDesign and conduct compliance training to promote a high performance compliance cultureSupervise and manage junior compliance staff in monitoring, documentation Read more […]
Investement Compliance Manager 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 over US$650 billion of their assets. On their behalf we Read more […]
Compliance & Internal Controls – Vice President recruitment
Responsibilities:1. In charge of Compliance Section2. Monitor branch compliance with laws and regulations and report any non-compliance to Management3. Keep abreast with changes in laws which may impact the bank and advise on implications4. Follow up on compliance-related audit findings from auditors and MAS and see to their rectifications5. Liaise with MAS and government agencies on compliance issues6. Plan annual Compliance Action Programme7. Provide training to bank staff on compliance issues8 Update compliance manual and in-house procedures9. Disseminate notices from Head Office, MAS, Read more […]
Assoc Director, Sanctions Assurance Testing, Group Legal & Comp Tm recruitment
Assoc Director (Sanctions Assurance Testing, Group Legal Comp TeamRef: PJ/PA/04£70-80K + £3,500 LW + £4,999 CA + packageOur client, who is a well respected organisation in the FS markets seeks an Assoc Director to provide 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 the role is to plan, execute and manage Read more […]