Senior Compliance Manager – Equities recruitment
Job Description In the role you will: Provide regional compliance advice on cash equities and derivatives Reviews sales and marketing materials Conduct compliance training Liaise with the SFC on licensing conditions and regulatory requests Review and approve new product applications Required Experience To be suitable for the role you will have: A relevant degree A minimum of 5 years regional equities compliance experience, preferably derivatives advisory Excellent command of both written and spoken English For more information please contact Stefanie Nitze on +852 2973 6333 or email stefanienitze@taylorroot.com.hk Please Read more […]
Senior Compliance Manager / Private Banking recruitment
Our client, a leading global private bank is looking for a Compliance Advisory Officer to provide advice, guidance and support to the front office in all aspects of their private banking business. The individual would help to develop and maintain regulatory standards to enhance and protect the reputation of the firm.Duties Include: • Provide regulatory and transactional guidance and advice to the front office. • Liaise with and provide guidance to Senior Management • Keep Senior Management informed of regulatory changes and assess the impact on relevant business activities • Assist Read more […]
Senior Compliance Manager – Transaction Banking recruitment
Senior Compliance Manager required by a leading bank in London to manage their Transaction Banking division.You will provide compliance advisory services to the Transaction Banking business unit so will need a detailed understanding of Transaction Banking products and services, the regulatory expectations relating to them, and the ability to work closely with the business unit to provide commercially sensitive solutions to regulatory issues.As the Compliance business partner for Transaction Banking, you will also be expected to provide the link into the core central compliance teams (including Read more […]
Senior Compliance Manager, Banking (60-80k/mth) recruitment
The Company One of the largest banking groups, with over 5000 employees in HK, over million employees in Greater China region. The Role As one of the compliance team head for the groups, you will be reporting to Head of Legal Compliance, responsible for designing and implementing AML compliance policies and procedures, indentifying high risk transactions, providing trainings for different business units, and working closely with local regulators (HKMA SFC) on regulatory changes.Your Profile The successful candidate will be a degree holder in Law or Accounting, with professional qualification Read more […]
Senior Compliance Manager – Markets Regulatory Change recruitment
Senior Compliance Manager – Markets Regulatory Change My client is a global leader in institutional banking and is currently enjoying unprecedented growth in the overseas markets. A newly created senior Compliance position has arisen to take responsibility and mentor a team across the commodities, FX, rates and credit portfolios. The successful candidate will demonstrate polished stakeholder management skills and will guide the business through an era of significant regulatory change. This role will be responsible for preparing for and implementing policy across the following legislation: the Read more […]
Senior Compliance Manager – Private Banking recruitment
Our client, a leading international Private Bank is looking for a Senior Compliance Manager to join their Compliance Department. The individual would support the Compliance function in identifying and mitigating risks across the business and help to promote a proactive compliance culture within the firm.Duties include:• Support the business by providing compliance advice and guidance in relation to existing and new business initiatives.• Develop and maintain compliance policies and procedures in line with Swiss regulations and the company’s internal standards.• Liaise with and provide Read more […]
Senior Compliance Manager – TCF recruitment
Financial institution based in London is looking for a Compliance Manager to manage their Customer Treatment team.To manage the Customer Treatment team within Corporate Markets Compliance, in order to deliver a quality compliance service to help ensure that the business area/business undertaken is in adherence with all relevant internal and external customer treatment regulatory requirements principles. This is a newly created role which will form a key part of the Regulatory Risk Management function within Compliance helping to ensure that Conduct Risk is appropriately managed.Implement a compliance Read more […]
Compliance – Senior Compliance Manager, FICC (VP) recruitment
A Passion to Perform. It’s what drives us. More than a claim, this describes the way we do business. We’re committed to being the best financial services provider in the world, balancing passion with precision to deliver superior solutions for our clients. This is made possible by our people: agile minds, able to see beyond the obvious and act effectively in an ever-changing global business landscape. As you’ll discover, our culture supports this. Diverse, international and shaped by a variety of different perspectives, we’re driven by a shared sense of purpose. At every level agile thinking Read more […]
Senior Compliance Manager, Brokerage recruitment
The Company This Global Financial Services firm is experiencing significant growth across their business in Asia. Thus, a senior and experienced Compliance position has become available. Ideally you will have a demonstrated background within financial services compliance together with ability to work autonomously to get the job done! Providing a good working environment and career opportunities for high calibre staff this is a rare opportunity. The Role Providing compliance advisory; Preparing and conducting in house training to new staff and on any changes to compliance rules and regulations; Read more […]
Senior Compliance Manager – Global Banking recruitment
Prestigious Global Banking GroupExcellent Career ExposureAttractive Salary PackageOur client is a reputable international banking group known for their wide range of banking/securities products and services across multiple markets and jurisdictions in Asia Pacific. With expanding presence in Asia, an unique opportunity has arisen for a dynamic and experienced compliance professional to support their Global Banking and Trade Services businesses, based in Hong Kong. Reporting to the Head of Compliance, you will design, implement and enhance an effective Compliance and Risk framework for the relevant Read more […]