Senior Compliance Manager recruitment
The Senior Compliance Officer will be responsible for the following:* Support the Chief Compliance Officer * Advise all business lines as to compliance with applicable laws and regulations* Monitor business activity and employee conduct* Control Room compliance* Electronic Communication Review* Gifts and Entertainment policy* Conflicts of Interest* Project Management The successful candidate will meet the following qualifications:* Advanced Degree (MBA, JD)* 10+ years compliance experience* Experience with project management and software tools* Strong negotiation skills* Series 7 required and Read more […]
Compliance Manager recruitment
State Street Corporation (NYSE: STT) is the world’s leading provider of financial services to institutional investors including investment servicing, investment management and investment research and trading. With $21.510 trillion in assets under custody and administration and $1.877 trillion in assets under management at September 30, 2011, State Street operates in 26 countries and more than 100 geographic markets and employs 29,685 worldwide. For more information, visit State Street’s web site at www.statestreet.com Promoting a culture of excellence With more than 29,000 employees across 26 Read more […]
Compliance & Risk Manager recruitment
Small but expanding financial services business is looking to bring on a Compliance Risk Manager for their Watford office.The role of the Compliance and Risk Manager will be to develop and drive the delivery of the firms strategic compliance and risk agenda whilst ensuring adherence to all current relevant regulation. The role therefore requires the Compliance and Risk Manager to:Monitor, understand, communicate and implement current and future regulatory developmentsDevelop and implement an effective compliance and risk strategyDevelop and manage appropriate risk and compliance tools to assess Read more […]
Compliance Associate recruitment
Position Responsibilities • Assist in the maintenance of restricted and watch lists;• Assist in tracking/documenting compliance projects, compliance affirmations, reviews, and deadlines;• Assist in the review and production of compliance policies and procedures ensuring that regulatory policies are kept up to date;• Work closely with various teams within the firm to provide analysis and resolution on compliance related matters;• Assist in reviewing personal trading of employees and related accounts – pre-clearance, evaluate trade blotter versus personal trades, and keep files of Read more […]
VP Compliance Team Leader (8+ yrs pqe) Singapore recruitment
You should have a very good knowledge of the Securities Futures Act, Financial Adviser’s Act, Companies Act and AML issues. Proven management skills and the ability to oversee multiple projects is a must. Ref: 10335/EF Learn more about this position now or apply today by contacting Hughes-Castell:+Call: +65 6220-2722+E-mail: hughes@hughes-castell.com.sg+Find the latest new jobs: http://www.hughes-castell.com.sg/
Head of Legal- Indonesia recruitment
General Management: • Develop division annual plan and monitor performance against objectives • Assume full management responsibility for the division (including hiring and firing, expense management, etc.) • Manage expenses in line with budget • Set internal standards, guidelines and controls to ensure compliance with applicable rules and regulations • Represent the bank vis-à-vis regulatory authorities and other stakeholders Day-to-Day Management: • Participate in the review and validation process of new products and services to ensure compliance with regulations Read more […]
Business Continuity Manager – Sydney or Melbourne recruitment
IOOF is one of Australia’s largest independent and pure providers of wealth creation product and services. IOOF operates four divisions including Financial advice and distribution, Platform Management and Administration, Investment Management, and Trustee. Within each division we promote a variety of brands including Bridges Financial Services, Consultum, Wealth Managers, Ord Minnett, Spectrum Super, Pursuit, Perennial Investment Partners Limited, IOOF MultiMix, United and Australian Executor Trustees (AET).We are currently searching for an experienced Business Continuity Manager based in Read more […]
Business Suitability Assistant recruitment
This Business Suitability Assistant role , based in the City of London, will be responsible for:*Identification and analysis of risk issues which typically might result in client detriment, in particular unsuitable investment advice and unsuitable client portfolios *Identifying specific, measurable outcomes which the business should aim to achieve *Assist in the development of procedures which raise standards, meeting both the need of the client and ensuring that regulatory outcomes are delivered *Undertaking remote assessments of client portfolios and client correspondence *Undertaking branch Read more […]
TAX MANAGER FRANCE H/F recruitment
En 25 ans, le groupe Robert Walters est devenu une référence mondiale du recrutement spécialisé, avec 43 bureaux dans 20 pays répartis sur 5 continents. Robert Walters se consacre à la recherche de profils à haut potentiels pour des postes en top et middle management, pour toutes les fonctions support et ingénierie de l’entreprise.Présent en France depuis 1999, Robert Walters, fort de 180 collaborateurs, est réparti en Ile de France, à Lyon et sa région. Le cabinet est spécialisé dans le recrutement (permanent et temporaire) et l’accompagnement des candidats de haut niveau dans plus Read more […]
Senior Legal Counsel – International Bank recruitment
The primary mandate of the role is to work closely with regional business lines on all matters relating to legal and documentation risk and provide legal advice, structuring expertise and execution assistance.Additional responsibilities will include: • Drafting and reviewing of facility letters, loan agreements and security documentation for all business areas • Reviewing of custody, brokerage and business infrastructure agreements etc for all areas of the organisation • Reviewing of confidentiality agreements, term sheets and mandate letters for Investment Banking and Global Markets Read more […]