Head of Compliance, Asset Management (1mill + base) recruitment
The Company A reputable asset manager with strong presence in Asia Pacific, with over 200 staffs in HK and over 2000 staffs in Asia Pacific The Role As the Head of Compliance in HK, you will be reporting to Regional Head of Compliance, responsible for designing and implementing compliance policies and procedures, investment compliance, individual and corporate licensing, liaising with local regulators (SFC), new products approval, and be the point of contact for all compliance matters in the region.Your Profile The successful candidate will be a degree holder in Law or Accounting, with professional Read more […]
Head of Compliance – (Stockbroker) – London / City recruitment
HEAD OF COMPLIANCE – (STOCKBROKER) – LONDON / CITYWe are seeking a Head of Compliance to join an expanding Stockbroker and Corporate firm based in the heart of London’s financial district. Read on….As a specialist stockbroker our client delivers exceptional trading opportunities in equities, CFDs, FX, IPOs and private equity placements to its clients. Undertaking an exciting period of growth this expanding London Stockbroker is now looking for a Head of Compliance to lead and support their Compliance team.Your main responsibilities will include:Providing oversight of Compliance for the business Read more […]
Head of Compliance – Insurance recruitment
This leading Life and Pensions provider are seeking a Head of Compliance Development, Monitoring and Training to join their Compliance function.You will be responsible for ensuring an effective system and control framework is in place to ensure the firm meets its regulatory compliance requirements and that these requirements are effectively communicated and implemented across the business. You will provide advice and guidance to the business on regulatory change, as well as, compliance and regulatory requirements. You will also manage the delivery of the Compliance monitoring programme to provide Read more […]
Head of Compliance, Singapore recruitment
The Singapore Compliance team is responsible for executing the compliance program for all areas of the bank in Singapore. Reporting in to the Global Head of Compliance, this role involves managing a growing and successful team.Responsibilities IncludeProviding compliance training as necessaryDrafting and reviewing policies and proceduresProviding advice on compliance policiesParticipating in new product reviewsReviewing outsourcing arrangementsPartnering with business and entity management in managing regulatory reporting obligationsMaintain a broad knowledge of the Corporate and Investment Banking, Read more […]
Head of Compliance – Life Insurance recruitment
This leading Life and Pensions provider are seeking a Head of Compliance Development, Monitoring and Training to join their Compliance function.You will be responsible for ensuring an effective system and control framework is in place to ensure the firm meets its regulatory compliance requirements and that these requirements are effectively communicated and implemented across the business. You will provide advice and guidance to the business on regulatory change, as well as, compliance and regulatory requirements. You will also manage the delivery of the Compliance monitoring programme to provide Read more […]
Head of Compliance, Greater China, Asset Management recruitment
Reporting to the Regional Head of Compliance, based in Hong Kong, and indirectly to the Regional Managing Director, you will be responsible for overseeing all aspects of business and investment compliance operations spanning Hong Kong, China, Taiwan and also providing support to Singapore. Working closely with the Group Risk and Group Internal Audit team, you will prepare the monthly legal and compliance report and ensure that there is clear distinction between the support functions’ regional duties. You will also liaise extensively with local regulators such as the SFC and MPFA to ensure that Read more […]
Head of Compliance – Wealth Management recruitment
Global financial institution is looking for a Head of Compliance for their Wealth Management division.Duties include:Senior Management . Provide appropriate management information on compliance and regulatory issues to Senior Management. . Ensure compliance attendance at relevant management, Committee / Sub-Committee meetings (including Board meetings and Audit Committee meetings). Interface With Regulatory Authorities and Other External Entities . Communication with Regulators, Exchanges, Trade Bodies, Internal/External Auditors, in respect of compliance issues. . Assist in investigations prompted Read more […]
Head of Compliance – Singapore- APAC recruitment
Head of ComplianceMy client is a world renown securities firm seeking a Head of Compliance for their office in Singapore.Job DescriptionResponsible for the day to day advice to the Business Teams on Singapore regulatory requirements (mainly research of Banking Act, Securities and Futures Act (SFA), Financial Advisors Act (FAA) etc).Delivery of compliance related training to the Business TeamsIdentifying, assessing and monitoring the compliance risks faced by the bank so as to assist, support and advise Singapore Management in fulfilling its compliance responsibilities as well as advise any employee Read more […]
Head of Compliance – Singapore recruitment
Head of Compliance Singapore:Main Responsibilities:Provide assistance to the management and staff on complying with regulatory requirements and Group’s compliance standards; Assist the head of APAC to maintain a sensible and practical compliance infrastructure via updating compliance processes and localized policies. Work with the head of APAC maintain an updated inventory of Singapore regulatory requirements in relation to the Bank’s operations. You will facilitate the roll out of any compliance E-learning initiatives to the Branch and develop and enhance the compliance culture within Read more […]
Head of Compliance – Private Bank recruitment
The successful candidate will be responsible for the management of the compliance and AML team currently 3 staff holding both the CF11 and CF29 functions. The official CF10 responsibilities will remain with the current group head of compliance.It will be your team’s responsibility to monitor regulatory developments, provide compliance advice to the business, draft adequate policies and procedures, assessing with KYC for new clients, advice on AML and Financial crime policy, monitoring, desk review and the training of the business.This is an immediate requirement if you would like any further information Read more […]