Regulatory Compliance Officer recruitment
Responsibilities:Establishing strategy, direction, policies and standards for regulatory compliance, and corporate governance according to internal and local regulatory requirementsIdentification, profiling and quantification of key strategic, business and macro regulatory risks for formulation of strategies, business model, policies and mitigation/resilience programs and infrastructures;Working with different LOB in establishing business, risk management and regulatory compliance platforms to support the Group and deliver firm strategyLiaise with regulators on new legislations and/or changes in Read more […]
KYC Manager – top tier law firm recruitment
The successful candidate should have solid KYC and compliance experience, preferably from a law firm or professional services firm. You should have a recognized qualification in compliance, and strong international background of financial regulatory issues.This manager will be based in HK, overseeing the KYC requirements for their clients in the different regional offices. Reporting to the head of compliance, you will analyze KYC information and be involved in the training of colleagues in KYC procedures.This law firm is well regarded as the top in the industry, serving international clients from Read more […]
COMPLIANCE TESTING REVIEWER recruitment
An international banking group with a huge global footprint is looking for a dynamic candidate to work in their Compliance team that involved the establishment and execution of the risk based compliance testing performed in the country and/or at a Regional level. Reporting to the Regional Cluster Testing Head or alternatively to a Country Compliance Testing Head and/or functionally to the CCCO.Key Responsibilities:support in establishing effective and optimal test plans; identify all relevant RRIs, together with their inherent risk rating applicable to the identified compliance risks to be covered Read more […]
Compliance Manager recruitment
A well regarded financial services organization has an opening for a compliance manager to join its Hong Kong business.In the role you will provide general compliance support and in particular will advise on AML matters. You will also supervise two other members of the compliance team.To be a successful candidate, you will need 1 to 4 years of compliance experience with a focus on AML gained from a well regarded institution. You will also have a strong personality and the desire to lead a team.Excellent communication skills are highly important as this role will liaise with clients and internal Read more […]
AVP/ VP, Compliance – APAC Regional Role recruitment
Our client is global financial institutionsAVP, Compliance – APAC Regional RoleDuties: Report directly to Regional SVPResponsible for supporting the Company in meeting all regulatory requirements across the Asia Pacific regionProvide advice on relevant Compliance policies, procedures and regulations to the business areas in the region.Assist in producing periodic global compliance reports for internal and external use.Assist in research for legal and regulatory requirements and development in the region; recommend changes and foster amendments to existing compliance policies in the region and/or Read more […]
Regional Director Equities Compliance recruitment
Main Duties- Main compliance support for the equities business, providing risk based practical commercial advice on regulatory and policy issues, development of new markets/products and providing training.- Alternative support for Sales and Trading front office professionals.- Regulation and policy advice and training to the business. This includes assisting with the interpretation and practical application of MAS regulations and applicable laws.- Conduct monitoring and review programmes for the Singapore regulated entities.You will be a:Degree educated individual with a good understanding of Read more […]
Head of Compliance- Leading Life Insurance Business recruitment
Reporting to the CEO and managing a small team, you will be responsible for:Driving, directing, controlling and advising on all aspects of regulatory compliance affecting the businessDeveloping the compliance and internal control plan for the regionProviding strategic advice on new product and operational developmentsLiaising with the regulators on any related issuesCompleting due diligence, site checking and compliance testingPrepare and compile compliance reports for the senior managementUndertake risk-based compliance monitoring reviewsYou will ideally have Accounting or Law qualifications and Read more […]
VP, Cash Equities Compliance recruitment
Job Description Reporting to the Head of Markets Compliance, you will be responsible for:Providing compliance advices to the Equity business in their daily business operationsSitting with the equities sales and trading business and supporting them on new business initiatives from the compliance perspectiveWorking with the global equities compliance teams to enhance standards of conduct and sharing updates on regulatory changesAnalyzing surveillance reports and conducting investigations when necessaryLiaising with regulators and sharing market practice your global counterpartsThe Successful ApplicantYou Read more […]
HK: Litigation Lawyer, 7-12 PQE recruitment
Hong KongTop Tier Investment BankDirector LevelSuitable candidates will have;At least 7 years of litigation experience including some time spent in Asia PacificGood exposure to the financial services sector with solid regulatory experience.Training from a top international law firm and posses a commercial approach to the lawMandarin is not required due to the range of matters coveredAbility to work well within a collegiate teamThe position offers the rare opportunity to move in-house for a litigator and presents an exciting challenge within a top financial institution that is recognised as a Read more […]
Team Head- Investigations (Ref. no TH-I/DK261011) recruitment
This will be a regional role but with responsibility to build and manage a team in Hong Kong. Being the key point of contact for various lines of businesses, your daily responsibilities will include indentifying, investigating and documenting unusual activity relative to current and/or prospective customers. You should be able to write concise, logical, grammatically correct analytical reports to explain unusual activity in preparing Suspicious Activity Reports for submission to Department of Treasury’s Financial Crimes Enforcement Network. The role requires you to work with businesses Read more […]