Compliance can be defined as: ensuring and monitoring adherence to the external and internal regulations that are important to the integrity of the organization. This explicitly includes rules and standards that the organization sets for itself. Within the financial sector, Compliance has successfully become part of leadership and of managing the products and services of organizations that are subject to supervision. Since 2001, Financial Assets has successfully identified candidates for a large number of Compliance & Regulatory positions in Asset Management, Brokerage, Banking, Private Banking, Wealth Management, Insurance, as well as positions for regulators, stock exchanges, clearing companies and custody companies.
Compliance Officer, Regulatory officer
- Director Compliance - Private Bank
- Head of Compliance - Investment Manager
- Senior Compliance Officers - Various organizations
These are some examples, please feel free to contact us for more information.