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- Job Descriptions ~ Develop and implement compliance policies and procedures to ensure the organization operates ethically and in comp... ...ics to assess the effectiveness of the compliance program. ~ Manage creation, review and approval of policies and operation applic...
- RESPONSIBILITIES Report to Head of Legal & Compliance Provide compliance advice and solution to management and departments Formulate and review general compliance manual, AML and other internal policies and procedures Keep abreast on regulatory developmen...
- ... recurring client engagements Consolidate the search results in presentable format for internal dissemination Report to the Compliance team leader Requirements: Diploma or above with major in business related studies Minimum one year experience in commerc...
- Roles and responsibilities Manage day-to-day administrative tasks related to client acceptance and continuance, anti-money laun... ...ocess and communicate with audit team to follow up outstanding compliance documents; Provide general clerical support to the audit te...
- ... Support administrative tasks related to product and vendor compliance, including compliance data collection and analysis. Collab... ... Bachelor’s degree in a relevant field (e.g., Supply Chain Management, Business Administration, Environmental Science). Minimum ...
- ...artner to provide audit quality and risk management support to the audit practice, including... ..., updating, and monitoring of the Firm’s compliance with HKSQM 1 and global network policies... ...thics and independence requirements, and AML regulations; Support the Technical De...
- ...understand their needs and develop tailored IPO strategies. Manage relationships with underwriters, legal advisors, and regulator... ...tion, including prospectuses and regulatory filings. Ensure compliance with all relevant securities laws and regulations. Stay upd...
- ...o achieve assigned branch business targets with quality; To manage branch operation effectively including business development, p... ...h staff and ensure efficient operation of the branch in strict compliance with the Company's polices, internal control and all statutory...
- ...rch technical issue ~ Keep abreast of changes in regulatory compliance laws, rules and regulations, and advising clients of the oper... ... products/selling opportunities ~ Assist Seniors to perform management duties e.g. training, staff development and recruitment etc ...
- ...ocess with good sales planning/strategies Comply with full compliance with internal guidelines and external regulatory bodies ... ...ents Minimum 2 years of experiences from investment/wealth management/insurance brokerage firms Degree holder with SFC Type 1 & ...
- Responsibilities Lead and manage IT projects throughout the entire project lifecycle, from initiation to closure, ensurin... ...o ensure adherence to established IT governance, security, and compliance standards Prepare and present project reports, including pr...
- Key Account Management Support the Manager to review the key account performance and identify the business opportunities.... .../dental insurances for new hires/leavers of clients Ensure compliance with statutory payment and reporting requirements in MPF and ...
- ...hange from time to time according to business needs. Assist Manager(s) on all accounting issues and communicate with client relati... ... participate in ad hoc/ internal/ Group projects. To ensure compliance is met with company standards, policies and procedures Expe...
- ...encies in the key areas of facilities, including maintenance, management, development, allocation, utilisation, booking, etc. Assis... ...t facilities inspection regularly for monitoring on statutory compliance. Responsible for appropriate stocks of materials or tools ...
- ...perience in Securities Industry is preferable but not essential Candidate with less experience will be considered for Assistant Manager Good command of written and spoken English and Chinese; Fluent in Putonghua is an advantage Good interpersonal skills and cu...
- ...ory services to financial institution in addressing regulatory compliance matters, including compliance reviews, policy and procedures d... ...nd enforcement action remediation etc. Responsibilities: Managing client portfolio, as well as developing and implementation of ...
- ...traffic Assist in content writing and artwork adaption for social media platform, official website update and maintenance Manage editorial calendars and syndicate messaging schedules primarily across Facebook and Instagram Collaborate with various agencie...
- ...mprovement in the work process effectiveness and efficiency to meet/ exceed the client expectation Assist Directors to perform management duties and handle administrative matters Lead a team to achieve the business goal and financial objectives of the department ...
- ...pe 9 regulated activities. We are committed to complying with Financial Services Compliance to safeguard investor asset and to provide excellent service. uSMART Securities' core management and financial technology team members come from world-renowned technology giants...
- RESPONSIBILITIES · Performs AML/CFT functions including investor KYC, and collaborate with Managers and investors on required documents and information for FATCA... ...ors on KYC related matters. · Ensures strict compliance with internal procedures and guidelines as wel...