VP Compliance recruitment
Key Responsibilities:*Provide compliance advice and support to the Private Banking and Institutional Asset Management business lines.*Draft and implement compliance policies and procedures in accordance with HK legal and regulatory requirements.*Conduct KYC and AML transaction monitoring in respect of private banking clients*Manage licence applications to SFC and/or HKMA.*Set up and monitor investment suitability framework for private banking clients. *Perform compliance checking and review / monitor investment restrictions in respect of funds under management.*Assist in reviewing of marketing Read more […]
Compliance, supervision & control -contract to perm, $30-45, i-bank, immed.avail recruitment
The Company This is an exciting opportunity for 3-5 years of compliance, supervision and control candidates to join this multi-national investment bank. This bank is US headquartered, listed. Hong Kong office is situated in Central. They are setting up a new team for this hiring manager. The roles have long term career progression. The Role Supervise FA and client activity with emphasis on client account due diligence and suitability. Manage new account review, approvals and enhanced due diligence including conducting client interviews where required. Ensure adequate awareness and compliance Read more […]
Compliance and Administrative Branch Manager – High-Net-Worth Compliance recruitment
The Role of the Compliance and Administrative Manager is to implement and ensure that internal and external policies and procedures are followed at the branch level. Additionally, other Branch administrative functions may be assigned to the Admin Manager. He/she will be responsible for the branch’s overall Sales Practice effort, including but not limited to:• Ensuring adherence to internal policies and regulatory requirements• Accountable to understand and fulfill all responsibilities but not limited to responsibilities identified on Administrative matrix• Develop, implement and modify Read more […]
Ombudsmen recruitment
Ombudsmen £65k to £85k London open-mindedadj: willing to consider new ideas; unprejudiced It’s not easy to see both sides of every story but that’s exactly the kind of perspective we are looking for.Every year our team of ombudsmen weigh up the arguments and settle thousands of disputes. Often taking decisions that change people’s lives.It takes an open mind, a cool head and solid judgement. It’s the way you think that makes you right for us. We also reckon you’re now at the top of your game – and in the mood for something completely different. www.financial-ombudsman.org.uk/careers Read more […]
IB Tech – Compliance & Regulatory Reporting Test Lead – Vice President – New Jersey recruitment
J.P. Morgan is a leader in financial services, offering innovative and intelligent solutions to clients in more than 100 countries with one of the most comprehensive global product platforms available. We have been helping our clients to do business and manage their wealth for more than 200 years and we keep their interests foremost in our minds at all times. This combination of product strength, intellectual capital and character sets us apart as an industry leader. J.P. Morgan is part of J.P. Morgan Chase Co. (NYSE: JPM), a global financial services firm with assets of $2.0 trillion.Compliance Read more […]
Compliance Manager – Geneva recruitment
Key Roles ResponsibilitiesTo assist in the development of a strong compliance culture To assist in the growth and development of the Swiss business through advice and guidance in relation to the various legal and regulatory requirements of Money Laundering Prevention and Sanctions To review client profiles for new relationships and monitor and perform assurance of periodic client reviews To ensure the business is aware of upcoming changes in law and regulation providing advice in the implementation of or changes to policies To provide advice to the business including but not limited to client Read more […]
Financial Services Lawyer – Luxembourg office -top tier law firm recruitment
The successful candidate must: have worked in other top tier law firms previously. have experience working within a big structure.Languages required: Fluent English is essential. Fluent German or Luxembourgish is not essential but would be very beneficialDescription : the candidate must have from 2 to 6 years working for another top-tier law firm and must be specialist in one of the following areas: capital market, tax, financial services, investment funds.Keywords Law firm, investments funds, lawyer, finance, legal, law, Bar, capital market, financial servicesTo apply for this financial services Read more […]
Compliance officer in Luxembourg recruitment
Job details:The succesful candidate will join a team of four and start in January 2012. He will be working on strategic projects and put his expertise to the use of the team.Criteria: – 7 to 10 years experience in compliance- experience on strategic projects-experience in banks-experience in dealing with private portfolio-languages: English and French are mandatory. Italian and/or Spanish would be a significant advantage-education: degree and masters-the candidate must be hard-worker and extremely dedicated.Keywords: Compliance, Luxembourg, bank, finance, asset management, Compliance officer, Read more […]
Privacy and Notices Manager recruitment
Inspire and make a differenceDocklands basedAttractive remuneration package plus benefits At NAB, it’s all about our people reaching their full potential. And that means we drive the sustainable success of our business.NAB is experiencing exciting times under the guidance of a robust management team and numerous new initiatives. Under a dynamic leadership structure and with a real focus on its people and their careers, the bank continues to attract high achievers and is extremely well positioned.Sitting within the Privacy Notices Team within Group Governance and Legal, this role is responsible Read more […]
Internal Auditor (French Speaking) recruitment
Candidates will have / have knowledge of: Fluent written and spoken English and French language skills A degree in a relevant field and / or respective business experience SOX Common Audit Software Ideal Candidates will have Audit experience within the automotive industry or a banking / financial organisation Knowledge of the regulatory requirements of the German Banking Supervisory Board Ref. SH 6326