SVP/VP, Compliance (Global Banking & Markets) recruitment
Reporting to the Head of Compliance for HSBC Group, Singapore, this role will primarily support a key customer group in HSBC: Global Banking Markets (GBM). The role entails advising on and monitoring all aspects of GBM businesses to ensure that the business is conducted in accordance with all applicable laws, rules, regulations and codes of practice. The jobholder is also expected to assist the Area Compliance Officer (ACO) in managing bank wide/cross functional compliance and compliance related projects from time to time.Job Responsibilities:Identifying and highlighting compliance risk issues Read more […]
Head of Compliance – Singapore- APAC recruitment
Head of ComplianceMy client is a world renown securities firm seeking a Head of Compliance for their office in Singapore.Job DescriptionResponsible for the day to day advice to the Business Teams on Singapore regulatory requirements (mainly research of Banking Act, Securities and Futures Act (SFA), Financial Advisors Act (FAA) etc).Delivery of compliance related training to the Business TeamsIdentifying, assessing and monitoring the compliance risks faced by the bank so as to assist, support and advise Singapore Management in fulfilling its compliance responsibilities as well as advise any employee Read more […]
Senior Compliance Advisor- Futures recruitment
Reporting directly to the Head of Compliance, you will take responsibility for all regulatory and advisory obligations for this product area. A minimum of 5 years of relevant experience is required, meaning a demonstrable track record in Futures Compliance. Roles/ResponsibilitiesDirect liaison with regulatory bodiesPerform regular desk reviews and monitoring programRemain conversant in local MAS and global regulations and lawsDisseminate advice to the business on regulatory implications and implement recommended changesDraft and update internal Compliance Manual, notices, rules database and Read more […]
AVP – Compliance (Fixed Income) recruitment
• Global Bank• Business Facing• Highly Visible RoleOur client is global bank with significant presence across Asia Pacific. There is now a new headcount in Compliance based in Singapore.You provide compliance advisory to the fixed income business and assist in the review of new products/business proposals. You also supervise the monitoring of FI transactions for compliance and conduct risk assessment and periodic compliance review of exisiting activities on established risk assessment methodologies. You also assist in the implementation of transaction monitoring tools and business reviews Read more […]
Compliance Officer/Manager – Trust Company – Singapore recruitment
Job Responsibilities:Regulatory MonitoringDevelop annual compliance work plan and maintain regulatory compliance checklists/control self-assessmentsConduct compliance reviews and investigations; identify lapses weakness and recommend/follow-up on appropriate remedial action to ensure compliance with regulatory requirementsIdentify and assess compliance risks associated with the business activities of the company, including risks in relation to new products, business and client acceptanceMonitor staff training plan and conduct training to promote awareness of regulatory requirementsAnti Money Laundering Read more […]
Compliance and Risk Officer recruitment
Job Scope:Responsible for:ComplianceProduce and implement a structured compliance monitoring planProvide regular monitoring reports and a detailed quarterly Compliance report to Risk Committee. Co-ordination, monitoring and reporting of executive level complaints.Timely escalation of emerging risks and issues. Provide guidance to business areas on unregulated compliance matters. Subject matter expert on all internal compliance policies and provide guidance to staff when required. Monitor regulatory developments with an impact and report to the Risk Committee on a regular basis. Oversee Anti Money Read more […]
International Temporary Contractor, GWIM Compliance recruitment
OverviewBank of America is one of the world’s largest financial institutions, serving individual consumers, small and middle market businesses and large corporations with a full range of banking, investing, asset management and other financial and risk-management products and services. The company provides unmatched convenience in the United States, serving more than 59 million consumer and small business relationships with more than 6,100 retail banking offices, nearly 18,700 ATMs and award-winning online banking with nearly 29 million active users. Following the acquisition of Merrill Lynch on Read more […]
IT MNC – Legal Counsel recruitment
Our client is a leading US-based global IT company which offers its clients a diversified range of business solutions. The business has enjoyed strong growth in Asia Pacific over the years and our client is now seeking to further expand its business in this part of the world. In line with their growth plans they are seeking a mid to senior level lawyer to join their legal team.This role is for a sole legal counsel who will be based in Singapore with a reporting line into the APAC Legal Counsel. You will be leading contractual negotiations with your counterparts in the SE Asian region. Working Read more […]
Asia Control Room recruitment
Key Roles Responsibilities Control Room Activities * Provides a pro-active control room service to the various stakeholders in relation to regulatory, reputational and ethical matters, relating to Standard Chartered Group’s activities. This includes assessing transactions for potential conflicts, providing guidance on Information Walls, managing the Watch and Restricted lists, reviewing equity positions, providing assistance on research related matters, administering the Group Personal Account Dealing policy and procedures and managing the Outside Business Interest procedures. * Assist in the Read more […]
LEGAL MANAGER – ASSET MANAGEMENT recruitment
Our client is a multi-expert asset management institution with offices spread across the globe. In the Asia Pacific region, it has offices in many of the major countries, including Japan, Australia, China, Korea, India, Hong Kong and Singapore. The successful candidate will be responsible for assisting the team in Singapore to ensure regulatory compliance for the corporate entity.ResponsibilitiesDraft the legal documents for review by head office.Review of internally prepared documents that are sent to investorsReview all external legal documents from third parties, and finalise all legal documents Read more […]