AVP Market Surveillance – Compliance
Market Abuse Surveillance You will: Analyze daily alerts raised by our in-house monitoring tool Cover the following markets: Hong Kong, Singapore, Taiwan, India and Australia Investigate the rationale of suspicious transactions with traders Report suspicious findings to Head of Monitoring Report monthly activity to Regional Head of Compliance, Compliance COO and Local Heads of Compliance Participate in UAT whenever enhancements are released Shareholding Disclosure You will: Monitor daily our shareholdings with an in-house tool Cover the following markets: all APAC Confirm positions with Read more […]
Programme Manager – Compliance IT – Transaction Monitoring
Programme Manager – Compliance IT – Transaction Monitoring – Investment Bank Large scale technology change programme within Compliance and AML technology for a leading investment bank require a programme manager with the relevant domain knowledge. This is senior level role with direct oversight of managing technology initiatives focusing on enhancing the banks AML capacities, with a particular focus on data visualisation capabilities including use of SAS, Qlikview, SpotFire. Working within the Financial Crime Compliance group you will take direct ownership of change initiatives ensuring projects Read more […]
Compliance Reporting Manager
RSA is one of the world’s leading FTSE 100 general insurers with a proud heritage dating back over 300 years. With a shareholders’ fund of £3.5 billion, we provide high quality, innovative insurance products and services for some 20 million customers in over 130 countries, setting new standards in the industry. We have ambitious plans for profitable growth and see an investment in our people as an investment in our future. And that’s where you come in. What do you need? Experience in a Financial Services Compliance role this could be In-House, from the Regulatory/Compliance practice of a Management Read more […]
PA to Head of EMEA Risk Architecture Job
PA to Head of EMEA Risk Architecture (Job Number: 1311936)Description Team Description This role will support the EMEA Head of Risk Architecture who is based in Canary Wharf, London. The function is spread across London, Manchester Brussels and t he objective of the function is to manage the end to end processes, data controls and reporting required for stress testing and ICAAP across EMEA. Role Description The incumbents primary responsibility will be: Committee meetings management to include collation of materials and agendas, minute taking and production, manage attendance scheduling for Read more […]
Global Quality Assurance Compliance Officer
JPMorgan Chase Co. (NYSE: JPM) is a leading global financial services firm with assets of $2 trillion and operations in more than 60 countries. The firm is a leader in investment banking, financial services for consumers, small business and commercial banking, financial transaction processing, asset management, and private equity.Global Compliance Regulatory ManagementGlobal Compliance Regulatory Management plays a critical role in the successful execution of the firm’s compliance mission. The Compliance function ensures the development and maintenance of a strong compliance culture by developing Read more […]
Senior Analyst
Harvey Nash is recruiting for an experienced Senior Analyst to work within a successful and developing Front Office Credit Risk function in Glasgow. This team is responsible for producing risk metrics which make sense and can be used for monitoring swings and exposure in capital. This is a role which will allow you to operate across the Credit Risk Reporting function. As a senior analyst in the control room sub team, you will sit on top of the risk production process and ensure that the risk data produced is verified before communicating results to senior management. This is a unique governance Read more […]
Assistant Company Secretary
My client a leading commodities house is looking for an experienced Company Secretary to take on the role of Assistant Company Secretary based in Hong Kong. The ideal candidate will ideally have a minimum of 8 years’ corporate secretarial experience and gained from large international and listed companies. The responsibility for the role will include but not limited: – Deputise for the Company Secretary in her absence Monitor and ensure compliance with listing requirements and relevant statutory and regulatory matters of the organisation, as well as issues of corporate governance Liaise Read more […]
Product Developer/Manager
Key requirements of the role Working within the product development process to contribute to idea generation, initial review and competitor analysis, design and internal and regulatory approval and delivery where appropriate, with project team support Take responsibility for implementing changes to existing products. Close liaison with operations and fund admin to assist with TPA management and ensure timely delivery Maintain awareness of industry developments and regulatory changes and assess the impact on funds, focused on the UK. Lead relationship with other departments on any other operational Read more […]
Regulatory Manager/ Senior Manager
RoleA Leading professional services firm seeks to recruit a Regulatory Manager/ Senior Manager with banking sector compliance experience to work in the Hong Kong practice.Role responsibilities:• Provide advisory services to clients on the development and implementation of risk management policies, systems and controls, and regulatory issues • Review risk management policies and procedures against Hong Kong/China regulatory requirements and against the best international practices; identify opportunities for enhancement; assist clients in developing an implementation strategy and in Read more […]
Compliance Senior Manager
Compliance Senior Manager A global organisation with offices in HK seeks to recruit a Regulatory Compliance Senior Manager with 8-12 years relevant experience. Key responsibilities o Advice and guidance on structuring approaches to emerging regulatory compliance or regulatory exam findings o Regulatory issue remediation o Regulatory change management including planning and communication with regulators o Support ‘mock exam’ reviews, policy development and drafting etc o Assistance with relationship management between regulators and financial Read more […]