Compliance Review Analyst – Wealth Management
As a Compliance Review Analyst, Wealth Management, your primary responsibility will be to assess Macquarie Private Wealth Advisor’s practices for adherence to relevant legislation, regulations and other licensing obligations under our AFSL. You will then identify remedial actions to be undertaken and assist representatives in understanding their obligations.Key responsibilities include:undertaking the compliance assurance program specific to financial product adviceidentifying and escalating compliance incidents arising from the assurance program to the Compliance Division and RMGproviding coaching Read more […]
Compliance Review Analyst – Wealth Management
As a Compliance Review Analyst, Wealth Management, your primary responsibility will be to assess Macquarie Private Wealth Advisor’s practices for adherence to relevant legislation, regulations and other licensing obligations under our AFSL. You will then identify remedial actions to be undertaken and assist representatives in understanding their obligations.Key responsibilities include:undertaking the compliance assurance program specific to financial product adviceidentifying and escalating compliance incidents arising from the assurance program to the Compliance Division and RMGproviding coaching Read more […]
Regional Legal Risk Coordinator and Litigation
High Risk Role Within HSBC certain roles are designated as High Risk Roles. High Risk Roles are those where employee malpractice could lead to significant financial and/or reputational damage through internal fraud, data loss, bribery or the leaking of confidential information. For these roles, all internal and external applicants are required to undergo a range of enhanced security/background checks as part of the pre-employment vetting process. This role has been designated as a High Risk role and any candidate hired into this role would be subject to this vetting. In the event that you are short-listed Read more […]
Senior Manager-Retail Banking & Wealth Management (Recertification), Compliance
High Risk Role Within HSBC certain roles are designated as High Risk Roles. High Risk Roles are those where employee malpractice could lead to significant financial and/or reputational damage through internal fraud, data loss, bribery or the leaking of confidential information. For these roles, all internal and external applicants are required to undergo a range of enhanced security/background checks as part of the pre-employment vetting process.This role has been designated as a High Risk role and any candidate hired into this role would be subject to this vetting. In the event that you are short-listed Read more […]
Manager FCC Monitoring MENA, Compliance
High Risk Role Within HSBC certain roles are designated as High Risk Roles. High Risk Roles are those where employee malpractice could lead to significant financial and/or reputational damage through internal fraud, data loss, bribery or the leaking of confidential information. For these roles, all internal and external applicants are required to undergo a range of enhanced security/background checks as part of the pre-employment vetting process.This role has been designated as a High Risk role and any candidate hired into this role would be subject to this vetting. In the event that Read more […]
Programme Manager (Director)
Reporting directly into a senior managing director you will be responsible for both shaping the programme and area for which you are responsible with a mandate to re-structure the client on-boarding function and hire additional staff to improve front-to-back operational flows and business processes for client onboarding operations. This is an ideal opportunity for an experienced Director level programme manager with previous experience within client onboarding or KYC operations to lead a significant strategic programme of work with significant autonomy to re-shape their world within the bank, all Read more […]
Central Compliance Training Manager
The Risk Management Group (RMG) is an independent, centralised unit responsible for assessing and monitoring risks across Macquarie. This includes market and liquidity risk, credit risk, compliance risk and operational risk. RMG personnel liaise closely with all operating areas to ensure risks are understood and properly managed. Intended Experience for this position : 3+ years of training experience (either locally or outside of the US) within the financial services industry or securities compliance function preferred. Key high level training responsibilities :· Deliver new hire training and Read more […]
Compliance Associate, Private Banking ($30-40k/mth)
The CompanyAn expanding private bank, with strong presence in Europe, Middle East andAsia, with over 50 employees in HK, currently looking for a compliance associate to join their general compliance team.The RoleAs part of their growing business, you will be reporting to Head of Compliance in HK, responsible for performing transaction monitoring and identifying suspicious transactions, providing compliance advisory to business, ensuring AML policies and procedures are in line with regional offices. You will also be responsible for licensing applications, regular compliance review as well as other Read more […]
Paralegal / Legal Executive x 2
Key Roles Support a team of lawyers File Opening Procedures, including conflict checks and client / matter data input. Draft legal documents. Case preparation. Attend client interviews and investigations. Manage matter deadlines, monitoring progress of matter and court timelines. Conduct legal research work. Handle legal related queries. Filing of documents via e-Litigation. Requirements Diploma in Law Management / Paralegal Studies 1-2 years of relevant work experience in a law firm Experience in Intellectual Property Technology Practice Strong command of English – written spoken Independent, Read more […]
Liquidity Risk Policy
Large international bank seeks an experienced liquidity risk professional to focus on policy matters. Your responsibilities will include representing the bank in industry discussions and acting as a point of contact to co-ordinate policy responses across the bank. You will ensure that the implications of regulatory liquidity requirements are understood by all parts of the bank, and will own the drafting of the bank’s liquidity and funding risk disclosure narrative, as well as the co-ordination of the development of new disclosures as required. In addition you will undertake peer analysis and review Read more […]