Regulatory Coordinator – Member Regulation, Sales Practice
Regulatory Coordinators monitor and evaluate the financial and operational and sales practice condition of member firms through continuous communication with member firm management and the review and analysis of regulatory filings and other data obtained from member firms. This position requires frequent contact and interaction with management of assigned member firms. Essential Job Functions: Review and analyze financial reports and other relevant data to ensure compliance with FINRA and SEC rules and regulations. Understand the regulatory risks of the products offered by and business activities Read more […]
VP / Director | Compliance | Hong Kong
A role as Compliance VP/Director – Compliance Employee Services with my client – a Tier-1 Investment Bank in Hong Kong, is available immediately. The client is boosting its Compliance team, and looking out for an experienced candidate to join its team. The candidate will have a regional remit and will work closely with the team head, Head of Compliance, and other teams. It is a great opportunity for candidates who are looking for challenging job assignments and greater career exposure to join a leading bank with extensive presence across the globe. My ideal candidate would have an excellent Read more […]
CIB – Investor Services – Securities Clearance – GlobeClear Product Manager – VP
CIB – Investor Services – Securities Clearance – GlobeClear Product Manager – VP – London About JPMorgan JPMorgan Chase Co. (NYSE: JPM) is a leading global financial services firm with assets of $1.4 trillion and operations in more than 50 countries. The firm is a leader in investment banking, financial services for consumers, small business and commercial banking, financial transaction processing, asset and wealth management, and private equity. A component of the Dow Jones Industrial Average, JPMorgan Chase serves millions of consumers in the United States and many of the worlds most Read more […]
Senior Associate / Manager / Director
You will be responsible for supporting senior team members through the development of marketing and sales activities and continuous client contact programmes with senior client staff. Responsibilities Relationship building and networking with clients and internally across the business. Being a member of a team on large and small engagements and preparing regulatory analysis and reports. Problem solving and being able to implement and deliver solutions tailored to a client’s needs. Supporting technical analysis and developing an area of specialism where you will become the SME. Providing input Read more […]
Banking & finance lawyer 4-6 PQE
This is an unusual requirement. The client is a globally esteemed multinational with a strong footprint across a number of business sectors in Asia. It is not a financial services house.The company does, however, roll out a flow of derivatives and financial instruments in the course of regular business. Hence it employs a number of banking finance specialists within its legal team. Our client now wishes to engage a common law-qualified 4-6 PQE lawyer from the banking finance practice of an elite law firm in Hong Kong. The person will ideally have experience with derivatives products structuring Read more […]
Stage Consultant Management & Organisation
Nous recherchons des collaborateurs responsables et motivés ayant le goût du travail en équipe, une forte capacité d’adaptation et une forte volonté de s’impliquer dans le développement d’une entreprise à taille humaine. Les principales responsabilités du consultant seront :de participer à la réalisation des missions de conseil au sein du cabinetde prendre part aux projets de développement de 99 Partners Advisoryde réaliser des études approfondies sur des sujets d’actualité économique et financière Le poste de consultant implique :une connaissance solide de l’industrie Read more […]
Banking Lawyer
Qualified lawyer with strong banking experience, ideally to include practical experience of investment banking sought by this prestigious financial institution. The ideal individual will be at least 4 years post-qualified and will have a strong knowledge of the UK regulatory environment. Experience from a bank or direct from practice will be equally considered. This is a high profile role that will suit a pro-active individual with excellent communication and relationship management skills. The proven ability to quickly assimilate new information is essential and will be complemented by a high Read more […]
Portfolio Monitoring Analyst / Compliance
A new opportunity has arisen for a Portfolio Monitoring Analyst to provide essential daily trade analysis of managed fund positions. A varied role that will involve performing post trade investment restrictions, setting guidelines, automating processes and escalating breaches. Key requirements: • Strong academics, degree educated or equivalent • Advanced excel skills (macros/VBA preferred) • Post trade compliance experience in investment management We are looking for a bright, confident and forward thinking individual that can build relationships with internal stakeholders Read more […]
Lead Business Analyst, Client Onboarding Change Delivery, Regulatory SME, Compliance
Investment Bank requires a Lead Business Analyst to join their Client Onboarding Compliance area. This is a genuinely senior role and is considered to be the area’s key hire for this year. You will be an expert in all areas of regulatory requirements and have a deep understanding of KYC, AML and regulatory regimes (FATCA, EMIR, FINRA). This role will span all projects in the Client Onboarding space relating to Customer Reference Data, KYC, AML, Counterparty Fraud, and MIFID. You will have a solid background in Business Analysis and ideally have experience in a highly structured organisation Read more […]
Executive Director – Regulatory Liaison
Responsibilities of the role will include (amongst others): * Work in partnership with the Head of Compliance to manage regulatory relationships globally * Work closely with the Bank’s Senior Management team to ensure a uniform response to Regulator requests for information. * Lead in the coordination of overall PBU and CBU risk assessments andinherent risk mitigation programmes. * Support the Heads of Business by ensuring thatregulatory change is communicated effectively throughout the Bank and the appropriate programmes are in place for adoption. * Assist or lead the Bank’s presentations to regulators Read more […]