Snr Compliance Manager – research – brokerage – Securities Firm recruitment
Duties: Provide support to the business on regulatory compliance matters, raising issues to Senior Management and implementing corrective action plans, in particular to brokerage and investment banking businesses;Participate in new product development and ensure that new products conform to regulatory and internal compliance policies;Monitor new account opening procedure KYC review;Review policies and procedures prepared by other departments and provide input to ensure compliance with applicable legal and regulatory requirements;Advise management and business units on all compliance-related Read more […]
Director/General Manager – Securities Firm recruitment
Our client is a highly recognizeable financial institution with aggressive expansion plans for 2012 and beyond.As a member of the senior management team, you will be directly responsible for all elements of the securities business including: Operations, Research and Sales. Designing and driving the corporate strategy, you will ensure progressive growth in business, profits and head-count. As a business leader, you will support the professional development of your direct reports as you raise the level of their performance.The Successful Candidate will have:A proven track-record running/managing Read more […]
Senior Regulatory Specialist – Top Tier Investment Bank / Securities Firm recruitment
My client, a leading investment bank and securities firm is looking for a specialist in regulatory capital to join it’s financial control team to responsible for regulatory reporting, systems, control across South East AsiaProvide guidance and advice on regulatory capital for the business executed in the SEA regionManage a small but qualified team to provide advice on regulatory capital matters and compliance with all regulations in the areaPlay a key part in the implementation of new systems and policies across the groupEducate senior business members on strategic regulatory mattersProduction Read more […]