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This role will report directly to the Director of the department and manage a small team. This role will be responsible for IPOs and corporate finance business compliance related matters.
The FICC Compliance Manager role is an intermediate role and will be expected to support day to day operations in FICC matter, including regulatory compliance updates and provide advice on regulatory interpretations.
The Senior Risk and Compliance Manager is a Senior Manager role overseeing the Risk and Compliance of Trustee & MPF. Their duty will be to plan and control the operations of the Risk and Compliance team.
This role will report directly to the Head of Legal and Compliance whilst managing a small team. This role will be responsible for all regulatory and general compliance matters.
This role will report directly to the Head of Risk and Regulatory Services sitting under the first line of defence. This role will be responsible for all non-financial risk duties including operational risk, operational resilience, and ESG risk.
The VP/ AVP of Regulatory Compliance is an intermediate role and will be responsible for conducting risk assessments and analysis for the company and supervising the implementation of rectifications.
Review, assess and advise on responsibilities to the AMLO and Local Sanctions Compliance Officer.
This is an ethics and compliance role, will work closely with senior leadership team.
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