Head of Compliance, Global Financial Institution, $.1.2-1.5mill recruitment
The Company Our client is one of the well-established players in Hong Kong offering a wide array of protection and wealth management products and services. Due to rapid growth and expansion, they are currently recruiting for a high caliber candidate to head their Compliance team. The Role Reporting to the Global Head of Compliance, you will be responsible for the following duties – Promote, facilitate, implement, monitor and assess with compliance requirements Ensure a periodic assessment of the numbers and the competencies of compliance staff within the function or Business Unit; Provide quality Read more […]
Head of Compliance, Hong Kong recruitment
Hong KongExpanding BusinessAttractive Remuneration PackageReporting to the General Council, you will be fully responsible for:Establishing a comprehensive compliance monitoring program for the businessOverseeing the design, implementation and maintenance of the company’s compliance procedurs manual and monitoring programWorking closely with the Head of Legal to develop and maintain business unit relationships across the regionIdentiying and responding to ongoing regulatory changes and to implement new policies and procedures where necessaryManaging work relationships with the regulatory bodies Read more […]
Head of Compliance – Private Wealth Management recruitment
Head of Compliance/ Senior Compliance Manager Wealth Management / Private Banking Newly created opportunity within well regarded global wealth management business with an existing strong platform in AsiaWell known global financial services organisationHK based with broader Asia exposureExcellent career prospectsDue to continued growth and ambition within the Asia Pacific region our client require an experienced compliance manager to join their existing Private Banking Compliance team.The role is based in Hong Kong but will have a wider remit across Asia. The role reports to the Asia Head of Read more […]
Head of Compliance – Brokerage recruitment
Our client, a well established financial group is currently seeking for a high calibre to join the management team.You are responsible for manage the operation of compliance department; develop proper control, polices and procedures to ensure the company complies legal and regulatory requirements; implement, review and update compliance programs, internal control polices, guidelines including KYC, AML; provide advisory servies to board of directors, management and business units on issues regarding compliance with companies ordiance, SFC regulations etc. RequirmentsDegree holder10 years of experience Read more […]
Head of Compliance, Hong Kong recruitment
Responsibilities: Supervise/Provide compliance advice to senior management/business on new product launches(HK,SICAV,US,Korean,Singapore,TW,Malaysian,Chilean,ETF,alternatives)/projects/geographical expansionsSupervise/ensure the firm is in compliance with HK SFC/US SEC regulationsRegistered as Chief Compliance Officer for the Hong Kong office with US SECCompliance Representative under India SEBIApproved Person with SFC for SICAV / ETF funds, Complaint Officer with SFC for the HK office, Money Laundering Reporting Officer/emergency contact person with SFCProvide compliance advice to senior management Read more […]
Head of Compliance, Asset Management, $1.5mil base recruitment
The Company Our client is a reputatable Asset Management with retail funds and specializes public funds ranging from retail to institutional clients. They are now seeking a Head of Compliance to be based in Hong Kong covering the Greater China region. The Role Reporting to the Regional Head of Compliance, you will be responsible for the following duties managing a team of 5-6: • Promote, facilitate, implement, monitor the investment compliance of MPF funds, retail funds and advisory mandates; • Review marketing materials and investment management agreements; • Review, monitor and recommend Read more […]
Head of Compliance, Saudi Arabia recruitment
Your role will be to have full responsibility for the Saudi Arabia Compliance function for the bank. Responsibilities:Manage the relationship with the Capital Markets Authority (“CMA”).Provide compliance input into the new product process for complex transactions and new business initiatives originating from the region.Provide a comprehensive compliance advisory, control, monitoring and education service across all areas of compliance for the Saudi Arabia operations.Oversee and manage regulatory compliance for the various business lines of the bank including investment banking, asset management Read more […]
Head of Compliance – Independent Financial Planner $150k recruitment
This market leading financial planning and advice network requires a senior compliance manager to head their small compliance team. The role will involve providing advice and guideance to the business and associated advisors in order to satisfy all external regulatory obligations and internal compliance standards. The role will also be responsible for managing the existing advisor-level audit framework. Duties will entail – To consider the implications of legislative and regulatory requirements on the operation of the financial planning and advice business and implement compliance monitoring procedures Read more […]
Head of Compliance, Urgent Hire, At a Global Tier One Bank recruitment
This expanding team requires a Head of Compliance focussing on Corporate and Retail Finance. Extensive Knowledge of this as well as in depth experience of Anti Money Laundering is essential. This position will be responsible for the compliance of EU and Non EU Corporate and retail banks to EU legislation and regulation.You will be constantly liaising with different departments from the trading to the IT teams which allow you to have a major say in companywide issues, methodologies and policies. Furthermore you will co-ordinate your team in order to deliver in depth reports and analysis for both Read more […]
Head of Compliance, Asia recruitment
You will be the main point of contact for all compliance-related matters and provide advisory to the business regarding regulations and procedures. This is an excellent role within a growing business and provides the career pathway for an ambitious individual. As the sole contributor in the team in Singapore, you will take responsibility for understanding other applicable regimes and their impact on the organisation. You will have full understanding of rules and regulations relevant to Asian operations.You should have at least 5 – 7 years of experience within an Insurance compliance environment. Read more […]