Senior Compliance Advisor – Global Markets recruitment
Reporting to the Head of Country Compliance TeamVP-SVP Level roleAbout Our ClientOur client is a Global Investment Bank.Job DescriptionProvide advice to Country and Business Heads to ensure that they establish and monitor appropriate arrangements for meeting regulatory obligations and high standards of conduct in their businessesPromote the implementation of policies on compliance issues which are material to the Group within the Bank.Design policies and procedures to report, eliminate or minimise the risk of breaches of regulatory requirements and of damage to the Bank’s reputation.Seek to obtain Read more […]
Senior Compliance Advisor, Private Banking recruitment
Key Responsibilities: Provide a pro-active and consultative advisory support to the Private Bank business in Hong Kong: – to ensure that they establish and monitor appropriate arrangements for meeting up-to-date regulatory obligations and high standards of conduct in their businesses, in accordance with Group compliance standards and local regulatory requirements applicable to the private bank – to provide compliance training for Private Bank Hong Kong in a focused and consistent manner and in accordance with internal and external regulatory requirements – to assist in managing regulatory problems Read more […]
Senior Compliance Advisor – Private Side & Research Compliance recruitment
Key Roles Responsibilities- Implement appropriate compliance infrastructure and controls – Perform risk assessments, and provide efficient and practical advice – Pro-active risk identification of regulatory changes or business developments – Development and maintenance of compliance policies and procedures – Regulatory risk management – Provide advice on new product and new business structures – Supervision of training requirements, monitoring, marketing activities, licensing and desk reviews – Interface with global product heads for standardization, reporting and efficiency Qualifications Skills- Read more […]
Senior Compliance Advisor, Equities, WB Compliance recruitment
Key Roles Responsibilities Assists in the identification of material regulatory and reputational risks in the business Anticipates and assesses key regulatory and product risk trends in the business for management consideration and helps drive the development and implementation of appropriate mitigation control measures Undertakes continual assessment of regulatory risks associated with existing products and those under development Participates in the governance of a business Assists in approving new products and new business initiatives Assists local teams with product line expertise as required, Read more […]