Legal & Compliance Analyst
Position Description:The Company Tracing our roots to 1928, Wellington Management is one of the world’s largest independent investment management firms. With more than US$700 billion in assets under management, we serve as a trusted adviser to institutional clients and mutual fund sponsors in over 50 countries. Our innovative investment solutions are built on the strength of proprietary, independent research and span nearly all segments of the global capital markets, including equity, fixed income, multi-asset, and alternative strategies. As a private partnership whose sole business is investment Read more […]
Compliance Technology Sr. Consultants/Mgrs for Global Advisory Firm in NYC
Our Global Advisory Client, with a client base that includes financial institutions and other capital markets participants, there’s tremendous potential for growth – and we’re prepared to tap into that potential. Their team takes a strategic approach to helping clients mitigate risk while improving and sustaining their business performance. In today’s complex business environment, that means understanding the relationship between risk, the regulatory environment, and performance improvement, and applying our knowledge to help clients achieve their business objectives. When you’re on their Read more […]
Compliance & AML Manager (M/F) LHEA503124
Job description As a Compliance AML Manager you will report to the Head of Luxembourg. Your main responsibilities will be: Development and monitoring of compliance policies Monitoring the operational and compliance framework Watch of Luxembourgish rules and analysis of their impact on the business Interfaces with the Luxembourg regulator Ensuring the company’s adherence to AML policies Assessing regulatory change and evaluating business impact Ensuring operational procedures reflect legislative and regulatory changes Development of a risk monitoring program. Who we are looking for You Read more […]
Compliance Officer
Job description As a Compliance Officer, your main responsibilities will be: Prevention of AML and terrorism issues Identification of regulatory changes for bank industry Identification, reporting and management of regulatory and marketing risks Monitoring of the operational and compliance framework Elaboration of compliance policies adapted to operational procedures Training of the employees regarding AML Who we are looking for Master in finance, law, economics or equivalent At least 4 years of experience in compliance in a bank or private banking Extensive knowledge of the regulatory framework Read more […]
Paralegal, Banking
The Company An outstanding opportunity exists for a paralegal to expand their skills and knowledge within a supportive and growing team. The Role Driving the compliance and risk frameworks; Drafting and reviewing Compliance policies and procedures; Reviewing and proof reading agreements, contracts and legal documents; Reviewing the translation of legal documents from English to Chinese and Chinese to English; and Assisting in ad-hoc projects as required Your Profile The successful candidate will be a degree holder in Law or related discipline, with qualified lawyer being highly preferable. Read more […]
Compliance Officer, Asset Management (20-30k/mth)
The Company A reputable asset manager with strong presence in Asia, small office environment in HK. The Role As part of a growing compliance team, you will be reporting to Compliance Manager, responsible for regular compliance review, monitoring and surveillance of daily trades, individual and corporate licensing, liaising with local regulators (SFC), involved in new products approval, and other ad hoc compliance projects. Your Profile The successful candidate will be a degree holder in Law or Accounting, with professional qualification is highly preferable, You will have at least 2 years working Read more […]
Senior Credit Officer
JOB DESCRIPTION A leading IB is looking for a senior credit officer to cover their global commodities business. This is a senior hire and the incumbent will have substantial delegation authority and work in collaboration with the front office – whether it be approvals or joining them on client visits to really understand the counterparty and their needs. This position requires a candidate with an extensive background in commodities credit risk with delegation authority, either from a bank or commodities house. Management and leadership of a team is also necessary. APPLY | risk@gqrgm.com | 0203 Read more […]
Vice President, Data Privacy and Protection Compliance
The candidate will provide leadership, training, and management over the Privacy Compliance Program. They will collaborate with professionals in the Legal Department, People Services Human Resources Department, Information Technology, Global Security Department, and other business units to verify that the firm’s Privacy Compliance Program is complete and addresses all aspects of privacy risk to the Firm or any of the Firm’s Introducing Firms. The candidate will also provide information and recommendations relating to emerging privacy and data protection issues. Specifically, the associate’s Read more […]
Operations Compliance, Director Level
Responsibilities • Provide senior compliance coverage to the Operations Division for Corporate, Investment Bank and Wealth businesses • Participate in regulatory examinations and respond to regulatory inquiries relating to Operations • Develop and implement compliance policy in accordance with applicable rules and regulations • Conduct training on relevant regulatory rules and topics for the Operations Division • Partner with Product Compliance and provide compliance coverage to the Regulatory Risk and Control group on matters relating to trade and transaction reporting • Read more […]
Sales & Marketing Professional
Responsibilities: •Provide primary product support to one or multiple predetermined sales channels for compliance solutions as the primary source of product and industry expertise to enable sales engagements •Detailed account planning with the sales leaders within the supported channel •Identify opportunities to position the firm’s Compliance solutions, define value proposition for the Customer and collaborate with Sales Channel partner to execute sales cycles. •Take the leading role in consultative sales to major prospects, providing customer-facing support •Responsible for Read more […]