Investment Bank – Regulatory Inquiries – Hong Kong recruitment
In the role you will be an integral member of the bank’s regulatory team working closely with the legal team whilst focusing on regulatory inquiries, inspections and exams. You will also maintain regulatory relationships, coordinate regulatory consultations, track regulatory policy changes and assist with drafting and updating firm wide compliance policies and procedures.To be successful in the position you will have at least 6 years experience working in a legal position providing support to investment banks or securities firms. You will have excellent communication skills, written and verbal, Read more […]
Compliance Officer ( Private Bank ) recruitment
In this role, you will be the sole person in charge of all Compliance activities, handling all compliance and regulatory affairs. You will be reporting directly to the Board of Directors.In this challenging role, your daily tasks will include but will not be limited to:Developing and implementing periodic compliance risk monitoring program across the bank processesDeveloping and implementing a best practise AML management frameworkProviding reports to Board of Directors regarding compliance matters, AML policies, and high risk issuesKeeping up-to-date with changes in laws and regulations and implementing Read more […]
Regional Director, AML Policy and Training, based in Hong Kong recruitment
Diversified International Banking GroupRegional Leadership RoleAttractive Base Salary + BonusesOur client is a leading International Banking group with diversified banking services and products across Asia including private banking, corporate investment banking. As part of the group’s strategy to strengthen AML and Sanctions Policy and Controls in the Asia region, a newly created opportunity has arisen for a subject matter expert in AML and Sanctions area to lead the Policy and Training function for Asia, based in Hong Kong.Reporting to the Regional Head of AML Compliance, you will have oversight Read more […]
Compliance Manager, Private Bank recruitment
Compliance Manager, Private BankingA fantastic opportunity has arisen to join this leading bank as a Compliance Manager within its established Private Banking team!Our client has a strong presence internationally and has been well-established in the banking industry in Hong Kong. Due to sustained growth and expansion plans, they are currently looking for a Compliance Manager to supervise a small team of compliance staffs in the Private Banking division.RESPONSIBILITIESReview and comment on a wide range of policies and procedures, new product proposal, marketing materials to ensure these are all Read more […]
Compliance Manager, Insurance recruitment
If you have the following skills and experience then this may be a great opportunity for you to join a dynamic team:4+ years of relevant Insurance Compliance experience;In-depth knowledge of applicable laws and regulations in insurance field;Strong business sense with good organizational skills;Good command of negotiation and interpersonal skills;Able to work independently with good analytical skill and the ability to provide sound and practical advice;The primary responsibilities for this role will be to provide compliant solutions and advice to the Company on daily business operations and assess Read more […]
VP, Senior Compliance Manager – Asset Management recruitment
Our client has a strong presence in Asia and has been providing a wide range of financial products and services in the Asia regions for over a long period of time. Due to continued business expansion in Asia, they are now looking for a Senior Compliance Manager to join this exciting team.In this role you will report to the Head of Legal Compliance. You will be conducting regular compliance monitoring and carry out compliance advisory to different business units in relations to investment products, licensing, and related regulations. You will need to review, draft and update the internal compliance Read more […]
Assistant Compliance Manager Asset Management recruitment
Key ResponsibilitiesIn the role you will:provide support to a Senior Compliance manager in the provision for compliance functions for Hong Kong and Singaporeassist in the review of investment management agreementsassist in regulatory enquiries and reportsassist in ad-hoc projects and investigationsreviewing marketing materialsCapabilitiesTo be successful in the role you will:degree in Accounting/finance/ Law or related disciplineminimum of 2 years relevant experience in the financial services industry, preferably with asset management experiencebe fluent in English and Chinese both written and Read more […]
Compliance Manager – Equity/Advisory/Derivatives/IBank/Hong Kong recruitment
Compliance Manager Equity/Advisory/Derivatives/IBank/Hong KongOur client, a well-established bank, is now seeking a driven, passionate and professional Compliance Manager to join their Equity Advisory Compliance team. This is a unique opportunity to join one of the market leading global Investment banks, focusing your development in General Compliance.Job function:Participate in regular meetings with Heads of business line/COOs to understand business developmentParticipate in regular meetings and co-ordinate with Compliance Officers from other Asian countries to update on new regulatory Read more […]
Manager, Financial Markets Compliance & Market Risk recruitment
Responsibilities ComplianceEnsure statutory and regulatory obligations of the FM business/operations are properly complied.Provide advice to business/operation units on regulatory compliance matters and develop/enhance relevant internal controls.Provide input for the development of new products and service strategies.Act as QA Supervisor in Norkom AML monitoring system.Handle ad hoc projects and drafting/preparing reports and submission.Assist to act as contact of the branch with regulatory authorities.Market RiskProvide oversight and analysis of market risk and related trading activity in the Read more […]
Compliance Manager AVP/VP – Investment Bank recruitment
International Investment Bank, Expanding in AsiaSmall and Dynamic Team with Broad CoverageExcellent Career Progression Opportunity and Competitive PackageOur Client, a boutique Investment Bank, is expanding in Asia and as such has created a new vacancy for an experienced General Compliance Manager to join their dynamic team. The role will give exposure to a wide range of compliance disciplines including KYC/AML, corporate finance, advisory, control room, policy development and general compliance administration and will cover a full suite of products including Fixed Income, Equities and Commodities.The Read more […]