Equities Compliance – Investment Bank – Singapore recruitment
Responsibilities:Coverage includes sales trading businesses and research sales in daily business operations, new products and markets initiativesMaintain the standards of conduct required by the laws, regulations and policies in the AEJ region to manage the firm’s economic, regulatory/legal liability and reputational riskHandle regulatory and internal investigations/audits and escalate significant or unresolvedissues to senior compliance management and the business units when necessaryReview and analyze daily surveillance reports of sales and trading activitiesConduct regular compliance training Read more […]
Equities Compliance, Investment Bank recruitment
The Company Widely regarded as one of the leading international Investment Banks, this is an outstanding opportunity for compliance candidates with extensive equities compliance experience to work with their Compliance team in Hong Kong. Our client offers a stable working environment and genuine career prospects. The RoleAssist in improving on-going framework development to ensure adherence to the relevant regulatory; Assist in maintaining and development policies and procedures specific to the equity business; Monitor the daily equities trading activities and identifying breaches; Provide compliance Read more […]
Vice President, Equities Compliance – South East Asia recruitment
With a strong presence in the APAC region our client requires a n experienced professional to bolster their equities Compliance team and the ideal candidate will have the following:8+ years Compliance experience within a financial institution, regulator and/or comparable environment is preferable Strong working knowledge of the equities markets, with a focus on cash derivatives equities products Strong working knowledge of securities laws, regulations, with detailed understanding of the application and impact of the relevant rules regulations, with particular strength in the South East Asia region.Ability Read more […]
Associate, Equities Compliance, Investment Bank recruitment
The Company A new opportunity for an Equities Compliance Associate has arisen within an investment bank which is undergoing significant change. This is an unusual opportunity for experienced Equities Compliance candidates. The Role – Monitoring equities surveillance activities and developing new surveillance programme; – Indentifying compliance risks and providing advice to ensure compliance with relevant rules and regulations; – Ensuring proper controls, policies and procedures are in place; – Assisting in handling regulator’s enquires and conducting internal investigations; and – Conducting Read more […]
Equities Compliance – VP recruitment
Top Tier European Bank Securities Compliance Excellent Salary Benefits Our client is a leading European Investment Bank with a strong compliance culture and an established regulatory framework. To maintain adequate support to the business and continue the development of their Compliance function, an outstanding opportunity has arisen for an experienced Equities Compliance expert to join the team in Hong Kong. Reporting to the Head of Securities Compliance, you will focus on the Cash Equities business in Hong Kong. As a compliance advisor, you will provide support to the Sales and Trading business Read more […]
Vice President – Equities Compliance, Investment Bank recruitment
Reporting to the Regional Head of Equities and Fixed Income Compliance Asia-ex Japan, you will be responsible for providing product compliance advisory services to the Equities business. You will work closely with sales and trading staff and the back office to ensure that activities are performed in compliance to industry best practices and regional regulatory requirements. In addition, you will analyse surveillance reports and conduct investigations where necessary. Furthermore, you will advise on regulations that affect new business initiatives and take a lead in resolving all risk issues that Read more […]
Associate Director, Equities Compliance – Global Markets recruitment
Hong KongGood career progressionAttractive remuneration packageThe RoleReporting to the Head of Global Markets Compliance, you will be responsible for the followings:To support the business and APAC region to comply with all relevant external regulations, codes of conduct, internal codes/policies and market practiceTo collaborate with regional and local compliance teams in providing comprehensive compliance advisory support to relevant Global Market businessTo provide training to business areas in procedures and practices necessary to achieve complianceTo maintain internal control standards, including Read more […]