Compliance Manager
We are currently looking for a Compliance Manager for our client who is an international bank with their Private Banking operations.Responsibilities1) Advisory and oversight of Private Banking business and regulatory compliance2) Oversight of the Representative Offices in Malaysia, Thailand and Indonesia3) Conduct Compliance Monitoring and testing reviews for Private banking business and Representative Offices4) Reviewing of all Product and Process notes for Private banking Business5) SFA/FAA Training for the Singapore BranchExperience1) At least 5 years of relevant experience2) Knowledge of Banking Read more […]
Head of Operational Risk
Reporting directly to the CEO and working closely with the head of the business this is a rare opportunity to lead best practice risk management at this large wealth provider. In addition to creating and implementing risk management frameworks, you will be managing a team of 5+ staff and embedding a culture of risk awareness within the platforms and operations business. You will also be responsible for managing a breadth of internal and external relationships including boards and committee, regulators, risk peers and General Managers across the wealth business. To be successful in this role you Read more […]
VP/D Level
A leading investment bank that is in the process of building out a new front office risk and control function is looking to hire a VP/D level candidate to help the development of the function in the region. They are looking to hire a candidate with a strong awareness of the control environment across the complete lifecycle of the trade.The role will form part of a team of 8 in London that will be part of team of circa 30 people globally. The team is centrally located in the front office and ultimately reports up to the head of Markets. They are split into 3 skillsets including Policy, Front-to Read more […]
Corporate / Commercial Lawyer
Corporate/Commercial AssociateDelivering legal services to PwC’s clients in a multi-disciplinary environment Quality domestic and international work Sydney basedPwC is a firm committed to collaboration and strong relationships that help our clients and our people realise their ambitions. Well known for our technical excellence, we are also a firm brimming with energetic and inspirational people who want to build a diverse and enduring career in a progressing, global organisation.Our Corporate and Commercial Legal team provides best practice expert legal advice and services. The team operates on Read more […]
Investment Officer I/II
CalPERS seeks an Investment Officer II to work under the general direction of the Senior Portfolio Manager, Investment Compliance and Operational Risk. The Investment Officer II assigned to the position identified above demonstrates the CalPERS Core Values (Quality, Respect, Integrity, Openness, Accountability, and Balance), works well as a member of a team, and takes initiative in effectively performing the following functions: The Investment Officer II applies investment industry experience and expertise to develop Request for Proposals (RFP), Contracts, Contract Amendments, Letters of Engagement Read more […]
.NET/C## Analyst Developer – Compliance, Legal & Regulatory/ EMIR
You will be required to ensure that project requirements and deadlines are met and that the projects transitions into production happens with minimal impact, whilst also working with the support teams to ensure that any required handover is given.Main Responsibilities:Working on projects inside the Compliance space. This will involve:Ensuring all business requirements are complete and understood before development takes place.Analysing the existing code base to get a good understanding of how the whole application is built.Developing the systems further to meet the changing requirements of the Read more […]
Training Lead & HBEU Advisors Design
The role chiefly centres around (1) analysing, designing and implementing CDD/compliance training for regional and local teams globally and (2) leading requirements gathering and other initiatives for European deployments outside of the UK. Responsibilities and accountabilities include;• Compliance analysis of training needs (compliance, COBAM, business) for customer due diligence (and related financial crime controls) on a global basis. • Provide support to European sites with planning, scoping and executing local requirements gathering exercises and in implementing the global design in these Read more […]
Portfolio Compliance Officer
An asset management firm in Boston is seeking a senior Portfolio Compliance specialist with a background in trading operations and settlement. This person will be responsible for establishing regulatory and governing rules, as well as internal policies and procedures surrounding all portfolio activity. Specialists will manage projects within the Portfolio Compliance group ranging from fund launches, proper utilization new financial products/instruments by traders, etc. You will interact directly with the traders and portfolio managers to ensure compliance with your established and well-maintained Read more […]
Compliance Manager
The role requires someone experienced in tracking and monitoring personal securities brokerage activity and trade confirmations, identifying conflicts of interest and resolving them. You will conduct ‘spot checking’ to detect conflicts, trading violations, front running and trading on inside information – escalating accordingly. The role is responsible for ensuring policies and procedures are maintained and communicated to relevant business areas, train new employees where necessary and identify areas/systems for process improvements.This role requires someone who is highly organised, has excellent Read more […]
Compliance Assurance Manager / Investment Banking & Markets
Our client, a global financial institution is looking for a Compliance Assurance Manager to join their compliance team and help in ensuring that the business meets its regulatory obligations. The individual would also help in identifying and mitigating risks across the business and help promote a proactive regulatory culture.Duties Include:·Regularly assess the adequacy and effectiveness of policies and procedures in place to monitor the business.·Review work undertaken by the risk assessment process to ensure that it is line with the firm’s business practices and methodology.·Promote awareness Read more […]