Corporate Finance
The Investment Banking division of one of the most prestigious banks in the world requires a Compliance Officer at Manager or VP level to provide advice to their MA, ECM, DCM and Corporate Banking division.As corporates throughout Europe continue to seek sophisticated and integrated banking coverage, this role sits at the heart of their advisory business, ensuring compliance standards are upheld throughout the deal-making process. The Role: You will be expected to get involved wherever needed in the wide variety of work in the department, which includes: * Dealing with a wide variety of ad hoc Read more […]
Compliance Investment Advisor
Opportunity: Role Responsibilities: · To provide advice across all areas of the business, both on a day to day basis and in the interpretation and implementation of regulatory change as relevant. · Assisting in the delivery of regulatory change. · Engagement on projects as required to provide regulatory input and guidance where appropriate. · To assist in the delivery of training to staff on regulatory matters. · To undertake marketing reviews. · To assist in any registration requirements as they apply to distribution activities. · Maintenance of Read more […]
AVP Level Control Room Compliance Officer for Leading Global Investment Bank | Hong Kong
AVP Level Control Room Compliance Officer for Leading Global Investment Bank | Hong Kong Salary – Excellent base + bonus benefits Description A leading global investment bank is looking to add an AVP level control room compliance specialist to their central compliance function. The role will be reporting directly into the Head of Control Room and will have regular liaising with the Head of Regional Compliance. ResponsibilitiesContinued maintenance of Chinese wallsMonitor control room list (Restricted, Watch Conflicts)Responsible for clearing day to day Equity and Fixed Income research to avoid Read more […]
Regional Specialist Development Programme: Global Risk
Around the world, growth is bringing new prosperity; businesses are pioneering new trade routes; and new centres of wealth and influence are emerging. At HSBC, we’re inspired by the ways the world is changing for our business and for our customers. That’s why we’re looking to connect with the best and the brightest people from across the globe. With so much to offer, we’re ideally placed to help you realise your ambitions. The Regional Specialist Development Programme offers a route to acquiring the comprehensive, expert-level knowledge required to succeed within a specific functional area, Read more […]
Assistant General Counsel with Bankruptcy / Foreclosure Law / REP / Single Family Mortgage Experience | Leading Financial Institution | USA
Assistant General Counsel with Bankruptcy / Foreclosure Law / REP / Single Family Mortgage Experience | Leading Financial Institution | USA Salary – 150k – 200k USD base salary + benefits bonus Description A leading Global Consumer bank is looking to expand its legal department with senior hires within their offices in Washington DC. The role offers senior candidates a unique opportunity to gain excellent management experience as well as wide exposure across a large retail/consumer portfolio. The position will report directly into the General Counsel and so will have ample senior management Read more […]
Fixed Income, Rates and FX Derivatives Advisory
This position will be responsible for provide compliance and regulatory advisory services to fixed income business lines and the relevant support/operational functions covering fixed income, credit, interest rate and currency activities, ensuring that the advice provided is suited to the needs of the business lines. Candidates should have the following skills and experience: -Degree educated or equivalent qualification -Floor-based compliance experience relating to fixed income, credit, interest rate and currency related products and activities -In-depth working knowledge of FSA and other regulatory Read more […]
Compliance Manager,VP
Our CompanyState Street Corporation (NYSE: STT) is the world’s leading provider of financial services to institutional investors including investment servicing, investment management and investment research and trading. With $25.74 trillion in assets under custody and administration and $2.15 trillion in assets under management as of June 30, 2013, State Street operates globally in more than 100 geographic markets and employs 29,225 worldwide. For more information, visit State Street’s website at www.statestreet.com.Promoting a culture of excellenceWith more than 29,225 employees across 29 countries, Read more […]
Compliance Manager, AVP
Our CompanyState Street Corporation (NYSE: STT) is the world’s leading provider of financial services to institutional investors including investment servicing, investment management and investment research and trading. With $25.74 trillion in assets under custody and administration and $2.15 trillion in assets under management as of June 30, 2013, State Street operates globally in more than 100 geographic markets and employs 29,225 worldwide. For more information, visit State Street’s website at www.statestreet.com.Promoting a culture of excellenceWith more than 29,225 employees across 29 countries, Read more […]
Head, Regulatory, Industry and Government Affairs, Asia Pacific
Our CompanyState Street Corporation (NYSE: STT) is the world’s leading provider of financial services to institutional investors including investment servicing, investment management and investment research and trading. With $25.74 trillion in assets under custody and administration and $2.15 trillion in assets under management as of June 30, 2013, State Street operates globally in more than 100 geographic markets and employs 29,225 worldwide. For more information, visit State Street’s website at www.statestreet.com.Promoting a culture of excellenceWith more than 29,225 employees across 29 countries, Read more […]
Manager, Control Room
If you’re looking for a career that will unlock new opportunities, join HSBC and experience the possibilities. Whether you want a career that could take you to the top, or simply take you in an exciting new direction, HSBC offers opportunities, support and rewards that will take you further. Regulatory Compliance ensures adherence to applicable regulations and standards by setting the policies which cover HSBC’s regulatory requirements, and mitigate conduct and reputational risk issues. The team strives to remain ahead of the regulatory change agenda and ensures the business understands the Read more […]