Global Marketing Compliance Manager
Change Recruitment Group’s client is currently seeking a Global Compliance Marketing Manager.This rarely available opportunity for a Global Marketing Compliance Manager has arisen within a highly respected top tier fund management house based in Edinburgh.One of the most prominent and instantly recognisable names in global financial services our client has a presence in all key international markets.Our client operates a flat structure and the successful applicant will be given the opportunity to liaise and influence at Director Level.This well rounded role will see you :-Manage and conduct reviews Read more […]
Regulatory Analyst – OFDMI/ Office of Whistleblower
FINRA is seeking well qualified individuals for our Regulatory Analyst position in the OFDMI-Office of the Whistleblower in Rockville, MD. To be considered for this position, please submit your resume through our careers site. No phone calls please. Job Summary: The Regulatory Analyst conducts reviews and investigations to compile evidence of potentially fraudulent or illegal conduct which may constitute violations of applicable federal securities laws and/or FINRA rules and regulations. The position involves professional work in which incumbents are fulfilling their assigned roles, Read more […]
Regulatory M&A Specialist
Required Experience ? Proven understanding of the mergers and acquisitions framework in the UK and Europe. Candidates must have focussed on transactions involving financial services companies. ? A solid understanding of UK/European regulatory framework for dual regulated firms (both FCA and PRA registered) ? Strong people manager with experience in training and developing a team of individuals with varying specialisms and levels of experience ? Advanced knowledge of the UK regulatory framework with knowledge of the EU Acquisitions Directive ? Ability to interpret and analyse complex MA documents Read more […]
Senior Sanctions Manager
Our client, a global financial institution is looking for a Senior Sanctions Manager to join their Financial Crime department to provide advice and guidance to the business to mitigate regulatory risks and facilitate the compliance culture. Duties Include: Responsible for sanctions in relation to the firm covering retail private banking business. Provide advice and support to AML advisory teams in the relevant businesses divisions on UN/EU/UK/US sanctions regimes. Maintain responsibility for oversight and distribution of sanctions related policies and guidance. Manage all sanctions related issues Read more […]
Regulatory Compliance Manager
Our client, a Global Financial Institution is looking for a Regulatory Compliance Manager to provide guidance and advice on all aspects of regulation across private banking businesses globally. The individual would help to develop and maintain regulatory standards to enhance and protect the reputation of the firm. Duties include: Provide regulatory advice related to products, services and clients to address the risks associated with private banking businesses. Be responsible for all aspects of compliance, including implementation of best in practice standards, policies and procedures and the provision Read more […]
VP Fixed Income Compliance – Global Bank – 80
The CompanyOur client is a leading Global Banking group with a strong presence within the APAC region. They are an expanding business and currently have this exciting opportunity due to their continued commitment to compliance.The RoleReporting to the regional FI compliance head, your duties and responsibilities will include:Providing Compliance advisory services to the Fixed Income business unit.Ensuring that staff are updated regarding regulatory changes that may effect the business.The continuous update and improvement of policy and procedure within the business unit.Devising and providing training Read more […]
Operational Risk Officer – International Bank
Your responsibilities:Implement an operational risk management framework for risk identification and assessment (risk inventory, loss database, business process analysis, scenario analysis, key risk indicators, quantification of operational risk, exemplary approaches to calculating regulatory capital), risk treatment (risk avoidance, risk mitigation, risk sharing and transfer, risk acceptance), risk monitoring and control Introduce an integrated framework including bank-wide risk management system and internal control system and, therefore, the control and monitoring of risks, activities and Read more […]
AVP Private Banking On-Boarding & Review Compliance
This KYC/AML role is designed to strengthen their on-boarding and client review functions and subsequently they are seeking experienced Private Banking Compliance professionals keen to further their career. Reporting to the Regional Head of Compliance based in Singapore, this position comes with excellent benefits, competitive remuneration and great career prospects. You will be required to ensure compliance risks are being addressed, assist in creating, implementing and updating policies and procedures whilst simultaneously ensuring they are in-line with local regulations and group policies. Read more […]
L-SLA-6046 Compliance Manager (Asset Management)
Our client focuses on providing a wide array of investment banking services including corporate finance, merger acquisitions, securities brokerage, asset management, general insurance, etc. They are looking for a Compliance Manager to join their Legal and Compliance Department. The ideal candidate should have at least 5 years of working experience in asset management firm and with experience in launching new products. L-SLA-6046 Compliance Manager (Asset Management) Job Responsibilities Advise business for fund set up and fund documentation Review fund distribution activities and approval of Read more […]
Senior Vice President Compliance, Monitoring
If you’re looking for a career that will unlock new opportunities, join HSBC and experience the possibilities. Whether you want a career that could take you to the top, or simply take you in an exciting new direction, HSBC offers opportunities, support and rewards that will take you further. Global Risk is a thriving and expert risk management function supporting HSBC globally with all aspects of risk management. The team actively manages a varied and dynamic range of risk types, including security, fraud, information security, contingency, geopolitical, operational, credit, pension, insurance, Read more […]