Compliance, Securities Division Compliance, Analyst, Hong Kong recruitment
Securities Division Compliance covering Equities Credit in Hong Kong provides compliance coverage and support to the Division’s business units in Hong Kong and across the Asia Ex-Japan region. Divisional Compliance also works closely with other firm departments, such as Legal, Controllers, Credit, Technology, Operations and Internal Audit. This is a trading floor-based compliance function providing real time support to the equities business. The role also involves driving forward strategic business initiatives and projects.The Compliance function consists of 5 pillars: advisory, training, Read more […]
Compliance, Securities Division Compliance, Associate, Singapore recruitment
The Compliance function consists of 6 pillars: advisory, training, surveillance, testing monitoring, policy procedures and regulatory interface. Divisional Compliance also works closely with other firm departments, such as Legal, Controllers, Credit, Technology, Operations and Internal Audit. Securities Division Compliance – Equities Compliance in Singapore support Equity business units in Singapore. This is a trading floor-based compliance function providing real time support to the equities business. The role also involves driving forward strategic business initiatives and projects.RESPONSIBILITIES:- Read more […]
Compliance, Securities Division Compliance, Compliance Risk Control Group, Analyst/Associate, Hong Kong recruitment
The Compliance Risk Control Group (”CRCG”) is part of the Securities Division Compliance team which provides compliance coverage and support to the Equities and FICC (Fixed Income, Currency and Commodities) Sales and Trading businesses.CRCG’s primary function is to manage compliance and regulatory risk through the development and oversight of controls.CRCG helps identify and prioritize the compliance and regulatory risks across the Securities Division businesses, and works to develop and/or enhance appropriate risk control measures to mitigate such risks. The controls include preventative Read more […]
Compliance Division, Securities Division Compliance, Associate / Vice President recruitment
Securities Division ComplianceThe role of Securities Division Compliance is to articulate and maintain the standards of conduct required of the Firm’s businesses as well as the laws, regulations and policies governing these businesses in order to assist the Firm in avoiding economic, regulatory and legal liability and risk to reputationThis role in Securities Division Compliance will provide coverage support to the Securities Division’s functional (including sales and trading) and FICC product (Commodities, FX, Fixed Income Securities, OTC derivatives) areas. The role also works closely with Read more […]