Senior Marketing Compliance Analyst
PURPOSE OF JOB Reviews, analyzes and approves communications to ensure compliance with regulatory requirements, internal guidelines, and other risk related issues. Guides and facilitates cross-functional teams in the strategy development and implementation of compliance solutions. Independently performs complex work assignments and problem resolution within a CoSA and enterprise-wide projects. JOB DUTIES· Applies Identifies compliance opportunities and potential solutions. Synthesizes analyses, identifies root cause(s), and provides recommendations that influence business solutions. Read more […]
IT Compliance Specialist
– Manage the day-to-day IT compliance management processes to track and monitor various IT compliance initiatives across AIG (Federal Reserve examination, SOX, other regulatory examinations, audits, self-assessments, standards and exceptions, etc.).- Work with corporate and business unit IT compliance representatives to analyze, communicate and articulate Federal Reserve requests, audit and self-assessment issues/findings.- Manage IT compliance management tracking processes and lead projects with ITGRC technology specialists to develop, and expand tools. Provide leadership for developing enterprise Read more […]
Regional Head of Surveillance for Global Investment Bank
Regional Head of Surveillance for Global Investment Bank Salary – Excellent Compensation (inc. bonus benefits) Description A leading global investment bank is looking for head of their surveillance group, reporting directly into the Head of Compliance and the global head of surveillance based in London. The position will be responsible for the management of 15+ junior surveillance analysts and managers and will have a huge impact in the direction the group takes going forwards. The roles responsibilities will include: enhancing the surveillance activities of the function as well as maintaining Read more […]
Head Legal & Compliance
Head Legal ComplianceIn dieser verantwortungsvollen Position zeichnen Sie verantwortlich für die Umsetzung sämtlicher bankenrechtlichen und regulatorischen Vorgaben und vertreten die Bank gegenüber den externen und internen Aufsichtsorganen. Sie agieren als Sparring Partner des Managements und beraten die einzelnen Abteilungen aktiv in allen juristischen und compliance-bezogenen Fragen und Problemstellungen aus dem nationalen und internationalen Vermögensverwaltungsgeschäft (inkl. Behandlung juristischer Fragestellungen im Zusammenhang mit der Beratung von vermögenden Privatkunden und Produkten). Read more […]
Head of Control Group
Position: Head of Control Group Wholesale Corporate Compliance Reference: D02297 Location: London Join Santander and you’ll become a vital part of a business built on the outstanding service provided to our customers, as well as the award-winning products we offer. We’re one of the fastest growing banks in the UK and that is down to our people. And we recognise that as we help you develop your career you’ll be doing the same for our business. Santander UK The Santander Group has more than 150 years’ experience in global banking and more branches worldwide than any other international bank. We Read more […]
Compliance Manager
ResponsibilitiesMaintain an effective compliance and control system within the companyProvide legal and compliance advice on existing and new products/businessesEnsure all trading entities comply with relevant regulations and requirementsIdentify any key compliance risksDevelop policies, procedures and process to allow the business to comply with applicable laws, rules and regulationsHandle all license matters for the company and staffPlan and undertake regular compliance review on business and regulated activitiesReview and /or prepare responses to regulatory inquires and investigationsProvide Read more […]
Legal Adviser
Eastspring Investments, part of Prudential Corporation Asia, is Prudential’s asset management business in Asia. We are one of Asia’s largest asset managers, with operations in 12 markets, approximately 2000 employees in Asia and about US$85 billion (£53.4 billion) in assets under management (at 31 March 2012). We are one of the largest multi-national onshore mutual fund managers in the region.About half of our total assets are sourced from third party clients and we manage funds on behalf of a wide range of retail and institutional investors, including life and pension products sold by Prudential Read more […]
FATCA / KYC Project / Change Manager
Job Description: Acting as the project manager in Asia in facilitating the implementation of FATCAReport to the Group Project Team and Head of Operations, Asia in delivering of objectivesChairing of regular meetings with project group in Asia, drafting of agenda and taking minutesUpdate and issue task plans and follow up with responsible partiesLiaise closely with all participating parties to ensure issues and concerns are discussed and addressedMaintenance of shared team site for market and working groups updatesEnsure deadlines are observed and escalate issues as need Requirements: Strong Read more […]
AM Legal
If you’re looking for a career that will give you plenty of opportunities to develop, join HSBC and your future will be rich with potential. HSBC Singapore Legal The HSBC Singapore Legal department is a centralized Group Function, headed by a General Counsel with 14 lawyers responsible for all Global Businesses, Litigation and the Group Functions in Singapore. The legal environment in which HSBC conducts business is becoming ever more complex, with regulators tightening controls and governments the world over implementing new legislation. We have a crucial role to play in ensuring that HSBC Read more […]
LEGAL MANAGER
Job Responsibilities:Reporting to Head of Legal Compliance, the incumbent is expected to draft and review legal documentation for various business units. In addition to providing legal advice and support, the incumbent is expected to constantly review insurance product, training and/or insurance related documents and cultivate compliance awareness culture. Job Requirements:Bachelor degree in Law or related disciplineQualified lawyer with 5 years post qualification experience preferably gained in insurance/financial institutionsWorking knowledge in Insurance Companies Ordinance, Banking Ordinance, Read more […]