Senior Compliance Officer recruitment
Our client, a global asset management firm is seeking a Senior Compliance officer to join its Manhattan Office. The successful applicant will have extensive knowledge of US Securities regulation and experience in providing direct regulatory advice to Investment Advisors, Broker Dealers and Traders. The client is also interested in applicants with working knowledge of Commodities and Mutual fund regulation as well as SEC examinations and ERISA Law.Responsibilities of the role will include but are not limited to:Providing advice by phone and e-mail to business and compliance colleagues in a large Read more […]
SENIOR COMPLIANCE OFFICER recruitment
Our over 81,000 employees world-wide are a big part of what makes TD stand out from any other organization. Every day, we deliver legendary customer and client experiences to our approximately 19 million customers. We’re an award-winning organization that reinvests constantly to ensure future growth. We’re recognized as an extraordinary place to work that embraces diversity, where everyone is respected and valued. TD is the sixth largest bank in North America by branches, with many exciting and challenging career opportunities in our four key businesses: • Canadian Personal and Commercial Read more […]
Senior Compliance Officer recruitment
A Global Investment Management Firm is seeking a Senior Compliance Officer that has a solid understanding of the Investment Adviser’s Act of 1940. This individual will conduct reviews under the firm’s annual review program pursuant to Rule 206(4)-7 of the Advisers Act which includes conducting reviews of the Group’s policies and procedures as included in the Compliance manual. The Firm is seeking a generalist (someone who can wear many hats). Responsibilities include: Run monitoring program Handle reviews for hiring manger to sign off Read more […]
Senior Compliance Officer recruitment
In this exciting position, your role will include:-Responsibility for overall compliance of Swiss and European business units-Monitoring and advising the business on any Compliance issues-Drafting internal guidelines, policies and procedures-Training the business on technical issues-Performing risk analysis and providing recommendations-Involvement in due diligence processes-Dealing with internal and external inquiriesTo be considered for this role, the successful candidate should hold the following skills:-University degree, preferably a legal background-4 to 8 years of experience as a Compliance Read more […]
Senior Compliance Officer recruitment
Tasks and Responsibilities- Making sure all obligations on the UCITS products are complied- Being the linking pin between regulators and the Asset Management Company- Improving process on internal compliance and make and up-date the Compliance Manual for the company- Advising on process of handling client complaints, litigation and Claims- Giving guidance and advice to the management regarding Luxembourg laws and Regulations- Overseeing Risk management and investment managers with Luxembourg regulation and compliance- Complying the group policies in Read more […]
Senior Compliance Officer recruitment
– You will be responsible for the compliance coverage of Wealth Management in Hong Kong, liasing with regulatory authorities and auditors (internal and external) when related to compliance issues.- Carry out investigations into breaches and complaints. Regular reporting to Head Office on compliance issues- Ensure compliance with local regulations, implement monitoring measures and enforcing internal policies and controls- Advise different business functions on compliance issues as well as providing traning on compliance and raising the profile of complince within the business.- Assist in supervising Read more […]