VP, Wealth Management Compliance
Our client has a leading presence internationally and is one of the top leaders within investment banking industry in Hong Kong. Due to sustained growth and expansion plans, they are currently looking for a Senior Vice President to supervise a team of compliance staffs in the Private Banking division.RESPONSIBILITIESReview and comment on a wide range of policies and procedures and new product proposal to ensure these are all compliance with HKMA and SFC’s requirementsPerformed compliance review and as well as monitor staff dealingsDesign, develop and implement relevant compliance policies and procedures Read more […]
Manager/AVP, Control Room & IBD
AVP/Manager, Control Room/IBDA new role has opened up with this leading global investment bank for a compliance professional to join this well respected control room team!In the role you will provide high level support within the Control Room and IBD team inHong Kong. On a day to day basis you will liaise with senior and regional management on conflict check clearance, research clearance and provide support on trading and research restrictions.In the role you will:Support and assist line management ensure all relevant external regulations, codes of conduct and internal codes and polices;Work on Read more […]
VP, Compliance
This leading investment bank has a new opening for a Senior Compliance Manager to join in the Compliance – Securities division team to provide compliance assistance to the Equities and FICC team!Job DescriptionIn the role you will:Provide daily trade surveillance report and conduct transaction monitoring reviewsRevising and testing the integrity of system controls by participating in testing programs and evaluating test results; and advise on policies to comply with the Hong Kong or other Asian regulatory standards to minimize potential risksWork closely and provide compliance advisory to the compliance Read more […]
Operational Risk Director
THE COMPANY: Our client is a leading UK financial services house with a banking and markets offering.THE RESPONSIBILITIES:Provide operational risk coverage to the banks regulatory and risk areas. Including facing off to the stakeholders.Act as the primary Risk Director to the regulatory/risk business line, and provide robust challenge at all relevant Risk Control Committees (RCC) and other meetings where ORM risk input is required;Maintain close working relationships with the business and support functions such as Group Internal Audit, Risk, Compliance, Legal, Finance, Operations and Technology;Provide Read more […]
Senior Compliance
Key ResponsibilitiesPrincipally responsible for the receipt and initial assessment of all applications for approved persons.The newly created team will also have responsibility for the processing of other approved persons and appointed representative notifications (e.g. withdrawal notifications).Influence and then entrench the new Approved Persons/Registrations programme, with a view of increasing the emphasis on individual accountabilities;Responsibility for owning and managing the Approved Persons processes from end-to-end, liaising with relevant Compliance / Business representatives Constructively Read more […]
Deputy Head of Legal and Compliance
will also ensure the business are aware and updated on any changes in legal or regulatory requirements, including their implications for the business. You will negotiate, draft and review all contracts and legal documentation, as well as, owning responsibility for data protection. The right person for the is role will be a UK qualified practising Solicitor. Relevant experience gained within an in-house Insurer would be highly desirable. A depth and breadth of Compliance and Legal requirements is essential. Previous experience of reviewing and preparing contracts and internal policy is highly desirable. Read more […]
Bank Regulatory Compliance
The team provides US bank regulatory compliance coverage for the firm’s investment banking and Wealth management businesses and activities impacted by U.S. Banking rules and regulations. The BRC group provides advice and support to compliance colleagues and to business areas on relevant bank and bank holding company rules and regulations including applicable State banking requirements, and applicable Federal banking requirements (including Federal Reserve regulations and, as appropriate, rules of other federal banking agencies). BRC also provides guidance an advice on safety and soundness Read more […]
Financial Crime Compliance
The ideal candidate will advise compliance management on potential client and/or transaction risk by conducting on demand due diligence research and analysis of information obtained from media and other sources. RESPONSIBILITIES Assist in the review of high risk prospective and existing clients, FCC-driven risk escalations, negative media alerts and PATRIOT Act Certification escalations for the CIB client base, and as needed, for business introducers, charitable contributions, etc. Compilation of standard due diligence work product and analysis, including review of public records, legal and Read more […]
Senior Compliance Manager, TCF, European Bank
Senior Compliance Manager, Customer Treatment, London A European bank inLondoninLondonis seeking a Senior Compliance Manager to lead the Customer Treatment Team on Conduct Risk and Customer Treatment issues including providing guidance around delivering FCA’s Treating Customers Fairly (TCF) Outcomes, oversight of complaints handling, oversight of product governance arrangement and the review and approval of financial promotions. Responsibilities: -Implement a compliance strategy around Conduct Risk and associated customer treatment.-Provide guidance to the business areas regarding the definition Read more […]
Regulatory Reporting / Share Disclosure Manager
This is a unique opportunity to take on a senior and high profile position within this well-known and respected legal practice. You will join a small but highly skilled and knowledgeable team, to provide up to the minute regulatory advice to 400+ financial services institutions who subscribe to the service. You will play a key part in liaising with counsel in 90+ jurisdictions to monitor and maintain the information service, including reporting to the partners of the firm.The legal information service covers a range of specialist areas, including funds derivatives, as well as share disclosures, Read more […]