Regulatory Bank Consumer Compliance Experts
Recruiting for Regulatory Consumer Compliance Guru’s (Manager to Managing Director Level) in the Financial Services Industry for a Top Notch Consulting Firm. Compensation and benefits are very competitive. The ideal candidate will currently be working for an organization in one of the following capacities: • In a medium to large bank in a consumer compliance capacity • In a Big 4 as a regulatory compliance advisory consultant or similar • In a consumer compliance consulting position for a reputable consulting company • For a bank/government regulator (Fed, FDIC, Office of the Comptroller Read more […]
Senior Due Diligence Manager
Key Responsibilities:Serves as the first point of contact in Risk Compliance for all Due Diligence sales, working with colleagues in Sales and directly with the client to capture the requirements of each new deal.Works closely with other managers globally to correctly match resources to tasks, ensuring proper resourcing is available per the areas of language expertise specified by the client.Works closely with other Data Strategy managers globally to drive efficiencies and ensure proper resourcing is available.Defines workflows, processes and procedures for the efficient management of DD report Read more […]
Personal Banker
Responsibilities:The Personal Banker will deepen banking relationships with existing Citibanking customers through providing advisory services on investment/insurance and asset products as well as secure sales on various banking products like i.e. Deposits, Unit Trusts, Bonds, Treasury Products, Insurance via the telephone or in person. The incumbent will comply with Citibank policies and procedures to ensure security of the bank’s and customer’s assets. He/She will proactively seek to identify customer needs, effective at cross-selling and referring leads to the appropriate channels for follow-up Read more […]
Responsable Juridique conformité, recouvrement et contentieux (H/F)
Vos principales missions seront les suivantes :Participer au contrôle permanent de la conformité des activités exercées, de l’organisation et des procédures aux dispositions législatives et réglementaires en vigueur ainsi qu’aux normes et usages professionnels et déontologiques.Garantir la conformité légale et réglementaire des documents et contrats de la banque.Manager et superviser les fonctions conformité, juridique et contentieux.Développer et optimiser l’activité du service conformité, juridique et contentieux dans le respect des réglementations, des procédures et des Read more […]
AVP/VP Compliance Risk Review
Our client is a global Investment Bank and due to continued expansion plans across the APAC region they are looking for experienced AVP and VP level candidates to join the Compliance Risk Review division.Key responsibilities include:– Identification and monitoring of risks.- Providing solutions to the business and managing stakeholder expectations.- Ability to anticipate risk and complex issues arising within a variety of different business units.- Understanding of regional regulatory frameworks. You will have at least 5 years compliance experience from an Investment Bank based in the APAC region. Read more […]
AVP
Work closely with key business stakeholders to assess their governance, business risks and review the effectiveness of their control mechanisms, ultimately providing assurance to the group. Candidates with experience in IT Audit from Investment banking / Big 4 / ACCA / CISA for IT will be suitable. Audit Delivery Stakeholder ManagementSupport the Audit Lead in scoping the audit where necessaryIdentify, assess document risks and controlsComplete testingEvaluate the design and operating effectiveness of controls document this understanding in the IA audit toolkitWrite high quality audit observations Read more […]
Public Markets Compliance Associate/ Tier 1 Hedge Fund House/
Job Description:Advising the Hedge Fund managers to direct compliance issues through the appropriate channels for investigation and resolution.Developing, initiating, maintaining, and revising policies and procedures for the general operation of the compliance program and its related activities to ensure compliance with relevant laws and regulations.Researching and updating the department regarding the new regulations and assessing the business riskJob Requirements: University Degree2+ years of relevant experience in complianceFamiliar with Global regulatory requirementsIf you are interested in Read more […]
ASIA COMPLIANCE
Provide compliance oversight by providing compliance advice, review and monitoring of the relevant business areas. To implement and maintain an effective compliance risk management program, to monitor and mitigate relevant compliance exposures according to the applicable laws and regulations. Liaise with business units to develop operational processes to prevent, detect and monitor potential compliance violations and control weaknesses. Ensure timely resolution on corporate compliance policies, regulatory liaison reporting, investment compliance, product development, sales and marketing practices, Read more […]
Compliance Monitoring Executive
Candidates will need to have worked in Investment Management, Asset Management or Private Banking previouslyCandidates will need to have significant prior experience of Compliance Monitoring within Investment or Asset ManagementThe client are looking to recruit an individual who keeps up to date with regulatory changes and has an enthusiasm for regulatory complianceThe client is looking to move quickly and can arrange interviews at short notice.The right candidate will need to be comfortable facing off with brokers/traders, the legal team other departments on regulatory matters Required Experience3-5 Read more […]
Assistant Project Manager
While reporting to the Manager – Compliance Projects, the Assistant Manager will be responsible for the following:- Following up in the approval process of new projects – Implementing the projects to ensure that all regulatory requirements are met and all milestones achieved – Producing concise, accurate and relevant Compliance Reports for submission to Senior Management and others to highlight significant control or regulatory weaknesses, errors, or omissions in Compliance Projects. – Regular liaison with the Compliance Officers and Coordinators to understand their needs for projects to support Read more […]