Paralegal – Leading Investment Bank (P-LIB/CP160112) recruitment
Our client is a leading global, investment bank and has established itself as a major player and pioneer within the market offering expertise to a diverse client group.The successful candidate will be responsible to coordinate with documentation negotiations by direct communication with clients. Additionally, the candidate will also be overseeing bank’s account and product documentation to ensure that policies are complied with at all times. The candidate will also be in charge of reviewing and updating new documentation policies. To be considered for this position the successful individual Read more […]
Hedge Fund Compliance Officer (Ref. no: HFCO/AT120112) recruitment
You will handle all compliance responsibilities on a regulatory level. You will ensure that the company guidelines and procedures comply with external regulations and be the main contact for the regulators. On a daily basis, your role will be to review all business agreements, compliance policies and marketing materials to make sure that no rule has been breached. You will also handle the training of new joiners and other staff members.To be eligible for this role, you will need to be university graduate in law or finance sectors. You have relevant experiences working with SFC on compliance matters, Read more […]
Compliance Manager, Asset Management ($35-55K) recruitment
The Company Our client is a leading asset management firm with an international focus. Due to an expansion in the team they are currently seeking a professional and experienced compliance candidate to join their compliance team. The Role • Prepare and update compliance policies and procedures; • Handle and advise on all regulatory related matters; • Perform compliance surveillance and monitoring; • Review all sales and marketing materials; • Promote compliance awareness and provide compliance training to staff; • Handle SFC enquiry and conduct related investigations; and • Assist Read more […]
Compliance Manager [Ref:Compliance Manager – SEGL/CPL] recruitment
Main Responsibilities:Providing advice to business and resource functions on regulations and compliance policiesDrafting and reviewing the compliance policiesConducting periodic desk reviews of the firm’s activities, through interviews and test checks and preparing reports of findingsLeading projects on different compliance aspects upon regulatory changesProviding training on general or specific compliance topics, as requiredCoordination with local compliance officers in the regionReviewing marketing materials as requiredUpdating business and other relevant parties on the new and hot compliance Read more […]
AVP/VP- Business Compliance (Regulatory) (Ref.no: AVP/VP-BCR/DK141211) recruitment
As a part of their growing business in the region and change in regulatory requirements, they are seeking for an experience candidate to join their Compliance Risk team in Hong KongAs a key point of contact in compliance you will take lead in managing the group wide Anti-money laundering compliance program. You will be responsible for drafting and/or enhancing, reviewing and maintaining an ongoing basis group level policies, procedures and guidelines around AML and implementing a robust early warning system across the group to help militate against AML risks. You are required to develop and roll Read more […]
Senior Lawyer, Banking & Finance – 6+ PQE recruitment
A growing international firm, the leader in its home country and now with 9 offices on 3 continents, is expanding its Hong Kong banking and finance practice with the addition of a senior lawyer.The successful applicant can anticipate a variety of Hong Kong inbound and outbound work, including significant interface with clients doing business in mainland China and continental Europe, as well as locally.The new person will work with the local practice’s managing partner, also a specialist in Banking and Finance.It is essential that applicants:– Are Hong Kong-qualified solicitors with a minimum Read more […]
Senior Compliance Manager recruitment
The core responsibilities of this role will include:1. Develop and maintain compliance policies in accordance with in house policies and procedures to prevent unethical, illegal or improper conduct. 2. Develop and maintain the compliance monitoring program, supervise periodic reviews and report findings to Management. 3. Review and update relevant rules and regulations, based on updates from Regulators or Head Office. Provide guidance to staff and senior management where necessary in relation to the details and implications of such updates. 4. Investigate thoroughly any alleged violations of policy Read more […]
DEPUTY HEAD OF COMPLIANCE – CORP BANKING recruitment
Growing international firmWide range of exposureAttractive salary and benefitsA growing international mid size corporate banking operation who are growing their operations in Hong Kong.Supporting the Head of Compliance you will need to work independently to oversee all compliance areas for the bank focusing on AML monitoring and relevant ordinances and guidelines in line with HKMA and SFC. This is a smaller but growing operation so it will offer a wide exposure for the right candidate to play a pivotal role working closely with the business. To be considered you will have at least 3 or 4 years Read more […]
Regional Compliance Manager (Ref: PSH/FIG/JS018DR) recruitment
RESPONSIBILITYEnsure all corporate and Asia region local regulatory compliance requirements are identified and evaluated with effective programs to implement relevant control measures including product initiatives, advertising and communication activities/materials, anti-money laundering, sales practice, etcParticipate in the discussions among committees for proposed change of legislation/ guidelines and new internal compliance initiativesProvide mentoring to managers to enhance their skills in providing compliance advice and monitoring Liaise/coordinate with regulatory authorities for change / Read more […]
Head of Compliance (Hong Kong) recruitment
This candidate will oversee the Compliance activities, support the Firm’s compliance with all relevant laws and rules and to promote a compliance culture within the Hong Kong office. Responsibilities: Develops and oversees policies and procedures related to Compliance mandatesAssists in the development and education of employees related to Compliance initiativesDevelops and manages initiatives to help detect violations of the Compliance mandatesLiaise with regulators and self regulatory organizations responsible for enforcing the Compliance mandates. Involves in all inspections or investigations, Read more […]