Head of Compliance, Asia
This is a rare opportunity to join a world class investment firm that will enable the successful candidate to have a significant impact on the future growth of the firm.Responsibilities:Manage regulatory enquiries and inspections.Interpret and implement regulatory and legal changes.Develop processes and procedures and deliver projects as dictated by changing requirements.Manage interaction and communication with trading and back-office functions.Involvement with monitoring and surveillance.Provide advice to Directors on regulatory changes.Assist Directors with drafting of contracts and other Read more […]
VP- Conformance & Compliance Testing
Responsibilities:• Completing and documenting QA and Conformance Testing work, and making recommendations for improving processes across the global Compliance function• Assisting in the execution of the global end to end process for the roll out of the annual Compliance QA and Conformance Testing Program• Working closely with the global team to execute coordinated QA and Conformance Testing amongst the three regions• Assisting with the continuous improvement of the QA and Conformance Testing Read more […]
Sourcing Expert
The role will require an exceptional candidate who will act as a relationship manager to key stakeholders cross businesses in London, with likely additional responsibility in core Europe, excluding Switzerland.The candidate will be responsible for engaging the business to determine needs, help shape strategy and future needs, and executing against these requirements, including leading the tendering and commercial negotiation with a wide range of legal service providers. The candidate will also be engaged to aid in sourcing efforts associated with the build out of the new UBS building in London. ClientDemonstrate Read more […]
Head of Regulatory Compliance & Company Secretarial
Our client, a Top Tier Law Firm, is recruiting for a Head of Regulatory Compliance Company Secretarial (Funds). The successful candidate will be expected to lead, manage and grow the regulatory and corporate governance compliance and the corporate secretarial team that sits with the funds department. Ideal candidates will have min. 5 years’ experience. This is a newly created role in the organisation and a full job spec is available. Please contact Sarah Kelly, Partner, The Panel for a confidential discussion 01 63 77 071
Prudential Advisor – Banking
This leading retail financial services company based in the M4 corridor is currently seeking to recruit a Prudential Advisor to be part of a small team of 3. The role will consist of providing technical advice around current liquidity, capital and credit risk requirements, development of regulatory prudential policies, systems and controls as well as providing on-going guidance and interpretation on the application of new rules such as CRDIV/CRR. The role will require you to lead on both BAU and project work. The successful candidate will have a sound knowledge of FSA/PRA prudential rules Read more […]
Senior Legal Counsel
Senior Legal Counsel – Regional Financial ServicesLeading Risk Management Software VendorLocation: Singapore or BeijingRemuneration: RMB83,000 to RMB116,000 (month) + The Company:Our client is a world leading provider of software and technology solutions to the financial services industry.With offices all over the world they service customers from every corner of the earth.They stand out from the crowd by offering unique software solutions to support trading risk management platforms across the region. The Role:You will respond to all business requests across the APAC region, initially with Read more […]
Strategy & MI Director, Conduct Risk, 12 Month FTC
Strategy and MI Director, Conduct Risk, (12 month FTC) A leading financial services organization inLondonis seeking a team of senior conduct risk professionals to work on an exciting new 12 month programme focussing on communications and training, assessing conduct risk, design and roll out of a conduct risk principal risk and the production of management information for strategic decision making. The responsibilities of the Strategic and MI Director include:Driving the Strategy and Management Information workstream to support Conduct Risk Management.Developing and agreeing approach to embedding Read more […]
Compliance Testing Examiner
A major international bank has an opening in their Compliance Testing group. The purpose of the role is to act as an expert in the areas of control testing and compliance risk awareness. This person will be responsible for providing technical and subject matter expertise on all compliance testing. Responsibilities will also include maintaining ongoing awareness of key factors that affect the compliance environment.-Minimum ten years of business, audit, and/or accounting experience -CPA, CA, or CIA certification a plus -Wide range of experience in product lines and regulatory experienceInterested Read more […]
Regulatory Specialist
Excellent opportunity for a high calibre individual with excellent communication and presentation skills, together with a sound regulatory background to include in-depth knowledge of the FCA’s Client Access Sourcebook and similar regulatory regimes The successful candidate will demonstrate superior critical analysis skills and the proven ability to communicate complex technical information to a non-technical but well informed audience of finance professionals. The ability to influence and negotiate with senior stakeholders, both internally and externally is essential, and will be complemented Read more […]
Regulatory Compliance
High calibre individual with excellent academics and significant compliance or risk experience gained from a securities –related environment sought by this progressive and extremely prestigious global investment house.The role will suit a compliance professional able to demonstrate a good understanding of the regulatory regimes across several jurisdictions to include UK (FSA), EMEA and US. Knowledge of both regulatory and corporate compliance is essential and previous monitoring experience will be a definite advantage.This is a key role within the wider compliance team and will involve taking Read more […]