Senior Compliance Manager / Debt Capital Markets recruitment
Our client, a global financial institution is looking for a senior compliance manager to provide advice, guidance and support to their Debt Capital Markets business. The individual would help to mitigate regulatory risks to protect and enhance the reputation of the firm.Duties Include: • Point of contact for business in regards to regulatory and transactional advice. • Provide advice and monitor all aspects of Debt Capital Markets business in line with applicable laws, rules and regulations • Provide advice on conflict of interest to the business • Liaise with external auditors Read more […]
Compliance Manager / Senior Compliance Manager, Insurance and Banking recruitment
The Company If you are an experienced Compliance Manager seeking a new challenge after the CNY, this reputable financial institution (with Banking and Insurance business) is certainly an employer of choice together with a long list of benefits to entice you to work with them. The RoleReport to the Head of Compliance and manage a team of high performing compliance officers; Provide compliance advice; Develop, implement and monitor policies and procedures to ensure compliance with relevant legislative, regulatory and policy requirements; Develop, implement, maintain and review the compliance framework Read more […]
Senior Compliance Manager, Derivatives Compliance – Financial Service recruitment
The Company Our client is a global and growing financial service with an unparalleled reputation across the Asia Pacific region. With the continued growth of the organization, their need has arisen to recruit a high caliber experienced professional to join them, focusing in Derivatives Compliance products. The Role • Designing compliance surveillance program on options and warrants trading; • Drafting and reviewing marketing material/legal documents; • Liaising with regulators and auditors; • Reviewing and setting-up compliance policies and procedures to meet the best regulatory and industry Read more […]
Senior Compliance Manager – Retail/Commercial Banking recruitment
An established Retail/Commercial Bank with a focus on progressive, customer centric values is seeking a senior compliance manager to ensure the adherence to legal and regulatory requirements. You will be assisting the Head of Compliance to review and implement compliance controls and code of conduct requirements for their retail banking business. The advisory and tracking of all regulatory issues will come under your remit and you will be expected to liaise regularly with all business units. Successful candidates should possess over 5 years solid experience within a general compliance function Read more […]
Senior Compliance Manager, Hong Kong recruitment
Hong Kong• Expanding Business • Attractive Remuneration PackageReporting to the Head of Legal and Compliance, you will be fully responsible for:• Acting as the Compliance Officer for the organization• Establishing a comprehensive compliance monitoring program for the business • Overseeing the design, implementation and maintenance of the company’s compliance procedurs manual and monitoring program • Working closely with the Head of Legal to develop and maintain business unit relationships across the region • Identifying and responding to ongoing regulatory changes and to implement Read more […]
Senior Compliance Manager, Dublin recruitment
Please Note: Candidates must be able to work in Ireland without restriction Position available for a Compliance Manager with a funds background. The ideal Compliance Manager will have at least 7 years experience in a Senior Compliance role and experience with Hedge Funds. Salary circa 95k. The Compliance Manager will have the following experience: At least 7 years in a Head of Compliance position In depth AML and KYC experience 4+ years experience within Funds, preferable hedge Report writing/experience completing audits Legal background an advantage If you are interested in this role Read more […]
Senior Compliance Manager, Wealth Management recruitment
Key Responsibilities- Liaise with Front office and the business to provide real-time trade approvals and position information including extensive liaison with senior management, regulators, internal auditors and major stakeholders- Provide Compliance advice to the Business and Support functions on applicable internal policies, law and regulations- Assist in licensing applications including preparation of necessary documentations- Develop training materials and provide input on Compliance topics- Participate in ad-hoc projects as the Compliance representative e.g. compiling feedback from other Read more […]
Senior Compliance Manager, Global Hedge Fund recruitment
Reporting to the Regional Head of Legal Compliance, you will play an integral role in managing key relationships across the business to ensure that each operation understands and acts in accordance with its compliance and risk obligations. Key stakeholders include Traders, Prime Brokers, Finance and Operations. You will also work closely with Risk Management professionals to assess and mitigate emerging risks. Core responsibilities will include trade surveillance and monitoring in order to resolve trade issues, preparation of internal reports and the review of systems efficiencies. As a key member Read more […]
Senior Compliance Manager – Private Wealth Management (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
Job PurposeAssist Team Head to establish and carry out all compliance functions to ensure the Bank adheres to the legal and regulatory requirements.Key ResponsibilitiesReview the current compliance controls of the Bank and identify proper actions for improvement if necessary.Review and execute the requirements for code of conduct and personal account under general compliance Manual of the Bank.Provide advisory services to business units on compliance issues.Perform regular tracking of all outstanding regulatory issues or findings not yet solved or responded by the Bank.Raise and maintain compliance Read more […]