Senior Compliance Officer
A leading investment bank based inCanary Wharf is seeking to appoint a Senior Compliance Officer to join a well established Equities Advisory team.The incumbent will be responsible for providing advice and compliance support to the Equity Derivatives and Equity Funds Structured Markets business including Equity Derivatives, Convertible Bonds, Fund Linked Derivatives and structured products.ResponsibilitiesProvide day to day compliance support to the Equity Derivatives, Sales, Trading and Structuring businesses Assist in the development and the roll-out of bespoke Compliance training programmesAssist Read more […]
C##/.NET Consultant (6 months+)
Global Financial Firm is seeking C#/.NET Consultant to manage a wide variety of development and reporting initiatives within the e-communications surveillance and archiving area of Legal and Compliance Technology. This is a highly visible role as the candidate will be tasked with developing large-scale, multithreaded systems that house essential correspondence that assists the firm to be compliant with industry regulators.This is a long term contract role located in Stamford, CT. Financial experience REQUIRED!Required Skills:5+ years .NET development with C# or VB.net (C# preferable)5+ years Read more […]
Part-Time Attorney (fixed-term)
Delaware Investments is seeking an experienced investment management attorney in Philadelphia for part-time work on a fixed-term basis.General Responsibilities include: · preparation of registration statements and other SEC filings · negotiation of investment management agreements· advising clients on issues relating to the Investment Company Act of 1940 and the Investment Advisers Act of 1940 · preparation of agendas, resolutions and other materials for Board meetings · review of shareholder reports and marketing materials· distribution-related issues and contracts· review of vendor contracts· Read more […]
KYC/Quality Assurance Analyst
This employee will be responsible for: -Ensuring QA consistency by liaising with team leads across the country. -Conducting QA reviews on new business KYC propositions. -Providing testing and feedback to QA team leader, with an emphasis on testing and system design. -Working in a time-sensitive environment to resolve issues put forward by key stakeholders. This candidate will need at least 3 years KYC experience, with at least 1 year in audit. Strong understanding of US Patriot Act, Bank Secrecy Act, and other AML frameworks is essential.
KYC Business Unit Leader
This employee will lead the Americas unit of a global effort to create a streamlined KYC service across 4 continents.Responsibilities include:-Working with key stakeholders to reach mutually beneficial solutions.-Reviewing, creating and enhancing internal customer due diligence.-Working within the team as the point person providing leadership and strategic resolutions to issues as they arise.-Adding value to the company as a whole by managing a growing department responsible for supporting global sites. The ideal candidate will have at least 5 years KYC experience, plus 2 years management experience Read more […]
Company Secretarial
Corporate Secretarial- Senior Consultant· National Legal Practice· Diverse Consulting Projects· Collaborative TeamDo you have a Corporate Secretarial background that you wish to apply across a range of advisory based interactions with iconic blue chip clients? PwC’s legal practice provides expert advice and trusted solutions to a range of local and global clients, incorporating public and private companies, not for profits and high net worth individuals. Consisting of partners and lawyers from a variety of backgrounds our pragmatic and commercial approach to business law ensures we truly understand Read more […]
Retail Bank-Senior Regulatory Compliance Manager
A leading retail banking institution is currently looking for a senior regulatory compliance manager responsible for the support and guidance on regulatory issues to a broad spectrum of retail business units. You will be assessing new and existing product offerings against the regulatory obligations of the firm. Regulatory risk assessment is a major aspect of the role as is the provision of appropriate guidance and solution provision. We are looking for a candidate with in depth knowledge of FCA / FSA rules and regulations as they apply to retail banking institutions.You will be a strong communicator Read more […]
COMPLIANCE
Our client is a global investment management company with an unparalleled reputation across the Asia Pacific region. It provides companies, institutional investors and high-net-worth clients with asset management services worldwide. With the continued growth of the organization, the need has arisen to recruit a high caliber professional to join their Compliance team in Hong Kong.You will be responsible for executing and maintaining compliance monitoring processes, conduct compliance review and various reporting. Establish and execute compliance monitoring programs to ensure compliance policies Read more […]
Compliance Manager
The Job:Participate in defining and establishing Compliance Risk Management Infrastructure and monitoring the frameworkParticipate in the annual compliance cycle planning, including the Compliance Chart update and monitoring test plansConduct regular compliance risk assessments, execute the compliance monitoring plan and the related issues analysis, remediation and reporting to ensure adherence to compliance risk thresholds authorized by Governance CommitteesAdvise business functions on compliance issuesParticipate in the review of sales, product and training materials for adherence to disclosures, Read more […]
Manager
The Job:Providing overall functional leadership with respect to corporate security and fraud investigation across ING Hong Kong and Macau, including the adoption of best practices and leveraging synergies.Advise on and monitor the physical security, personal security and fraud risk profiles / dashboard of ING Hong Kong and Macau and ensuring that appropriate action is taken to address issues arisingExecuting the required tasks in accordance with the scorecard requirements.Investigate crime, fraud and complaint related incidents as well as compliance and integrity breaches. Work with and Read more […]