IBD Compliance recruitment
Our client is a leading investment bank. They have an opening in its IBD compliance team for a seasoned compliance professional.In the role you will:Advise on compliance, regulatory, policy and reputational issues, as well as advise on new business initiatives;Work on the development of policies and procedures;Design and deliver training on policy and procedures;Create controls and help implement surveillance to ensure adherence with relevant laws and regulations; andProvide day-to day advice and approval for IBD staff.The ideal candidate will have come from a similar role and have a minimum of Read more […]
AVP, IBD Compliance recruitment
A leading, global Investment Bank is looking for an Investment Banking Compliance professional to join a dynamic team and business.If you have the following skills and experience then this may be a great opportunity for you to join a reputable brand in financial services:At least 2-3 years of compliance experience in financial services industry.Practical knowledge in financial services regulations and compliance practices across Asia and Greater China.Strong English communication skills (oral and written) with business-level fluency in Mandarin.Strong relationship management skills and able to Read more […]
VP – IBD Compliance recruitment
Responsibilities:Providing compliance support for all areas of the Investment Banking DepartmentResponding to all enquiries arising out of the different units across IBD, including advice on/interpretation of compliance policies and proceduresProviding compliance advice for MA activities and implementing applicable Bank policies and proceduresUpdating and maintaining systems which are used to manage Information Barriers within IBD, Research and Securities Sales and Trading areas including the watch and restricted listResponding as applicable to regulatory enquiriesBe the liaison person for Litigation Read more […]