Senior Compliance Manager/ Officer for Head of Compliance role — INVESTMENT BANKING \ HONG KONG SAR recruitment
My client is a top tier bank based in Hong-Kong looking for a Senior Compliance Manager to step in to a Head of Compliance role.The role requires previous Compliance experience in the field of derivatives, structures products. Legal background is advantageous as this Compliance role’s responsibilities include documentation on derivatives as well as taking care of the distribution side.The successful compliance candidate must be familiar with the regulatory matters in the Asian market and can benefit from the international network.This Senior Compliance Manager role offers a great working environment Read more […]
Senior Compliance Manager, Advisory Compliance recruitment
PURPOSE OF ROLETo act as a Compliance Advisory Partner to teams within the Capital Markets and Strategic Transactions business units. The role requires individuals to have a deep understanding of Capital Markets and Strategic Transactions activities, the regulatory requirements relating thereto, first-class relationship management skills and the ability to drive compliance culture within the business. CORE RESPONSIBILITIES* Establish strong relationships with the designated business area and drive forward compliance culture within the organisation, at all times ensuring the business owns Read more […]
Senior Compliance Manager – Securities recruitment
An exceptional opportunity has arisen to join this well regarded Securities firm as a Senior Compliance Manager in Hong Kong!Our client has a strong presence in Asia and has been providing brokerage services in the region for over a long period of time. Due to continued business expansion in Asia, they are now looking for a Senior Compliance Manager to join this exciting team.In this role you will be responsible for all general compliance and risk management affairs including sanctions surveillance, Type 1,4 and 9 licensing, trade surveillance, monitoring in Regulatory procedures, compliance review, Read more […]
Senior Compliance Manager, Banking (60-70k/mth) recruitment
The Company A large scale banking group, with over 50 branches in HK. The Role As the Deputy Head of Compliance in HK, you will be reporting to Head of Legal Compliance, responsible for designing and implementing compliance policies and procedures, compliance monitoring, individual and corporate licensing, liaising with local regulators (HKMA), and providing compliance advisory to different business units. Your Profile The successful candidate will be a degree holder in Law or Accounting, with professional qualification is highly preferable, You will have at least 5 years working experience in Read more […]
Senior Compliance Manager/ Officer for Head of Compliance role — INVESTMENT BANKING | Based in HK recruitment
My client is a top tier bank based in Hong-Kong looking for a Senior Compliance Manager to step in to a Head of Compliance role.The role requires previous Compliance experience in the field of derivatives, structures products. Legal background is advantageous as this Compliance role’s responsibilities include documentation on derivatives as well as taking care of the distribution side.The successful compliance candidate must be familiar with the regulatory matters in the Asian market and can benefit from the international network.This Senior Compliance Manager role offers a great working environment Read more […]
Senior Compliance Manager – Financial Markets – Leading bank recruitment
Defined career path in placeHigh profile, highly visable role reporting into Executive ManagementLead a large teamDue to an internal movement a rare opportunity has arisen to come on board at a group level in Senior Manager Compliance capacity. Reporting into Executive Management you will be responsible for the following: Managing a large team including Managers, analysts and compliance officers. Implementing new processes and procedures arising from regulatory changes as and when they occur Data and trend analysis interpretation for the board Developing and improving compliance reporting for Read more […]
Senior Compliance Manager – Control Room recruitment
Our client is a tier one Investment Bank. They are currently looking for a Senior Compliance Officer to join the Control Room within their accomplished Compliance Department. The Control Room operates with global scope and is responsible for maintaining and protecting the integrity of the business’ Chinese Wall.You main responsibilities will be:• Liaising with the bankers, obtaining regular deal updates and salient transaction information.• Monitoring and reviewing numerous business pipeline reports and publicly announced business.• Liaising with the Conflicts Office, ensuring any conflicts Read more […]
Senior Compliance Manager, Hong Kong – EFNC/CN74704/MSON recruitment
Responsibilities1. Provide day-to-day compliance advice and guidance to Investment Management business.2. Monitor and control of the business activities to ensure compliance with compliance policies and regulatory requirements.• Review new business initiatives from a local regulatory, best practice and group perspective.• Support the business in new investment projects or product developments by reviewing documentations.3.Identify compliance; timely organize the internal rules and policies review according to the business and regulatory development. (Procedures 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 Read more […]
Senior Compliance Manager – Sales and Marketing recruitment
The purpose of the role is primarily to be responsible for the oversight of the sales and distribution activities of the business including the approval of financial promotions. As well as this it involves a large contribution to the implementation of the compliance risk assessment and monitoring activity for the activities of the sales and marketing teams. Other responsibilities include: To implement the periodic compliance monitoring of a cross section of the activities of BNY the business, including leading the scoping and reporting of Compliance reviews. To keep the Head of Compliance informed Read more […]