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- Job Descriptions ~ Develop and implement compliance policies and procedures to ensure the organization operates ethically and in compliance with applicable Hong Kong laws, regulatory requirements and internal policies. ~ Create an annual compliance promotion plan, ...
- 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...
- ... laundering name screening, file archive, etc.; Monitor audit process and communicate with audit team to follow up outstanding compliance documents; Provide general clerical support to the audit team to ensure smooth audit flow; and Assist to complete ad-hoc as...
- ... 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...
- ...th the continued review, updating, and monitoring of the Firm’s compliance with HKSQM 1 and global network policies and procedures. Sup... ...al audit methodology, ethics and independence requirements, and AML regulations; Support the Technical Department’s responses to...
- ...operational reviews on the client base ensuring completeness of AML/CFT and administrative procedures and records Adherence to d... ...nsure adherence to regulatory requirements Identification of compliance and/or risk issues and recommendation of remediation required w...
- RESPONSIBILITIES · Performs AML/CFT functions including investor KYC, and collaborate with Managers and investors on required d... ...lients and investors on KYC related matters. · Ensures strict compliance with internal procedures and guidelines as well as the regulato...
- ...re looking for a self-motivated, focused individual with strong compliance knowledge base to oversee the SFC regulated activities of our s... ...ion and data inputs • Perform client onboarding review, KYC and AML checking in accordance with internal guidelines and regulatory ...
- ...e At least 2 years’ relevant work experience serving corporate clients and experienced in customer services & deposit operations, AML/KYC experience in banking would be an advantage Holder of HKSFC Type 1 license would be an advantage Self-motivated, able to w...
- Responsibilities: Review and ensure the completeness of account opening documents Conduct due diligence and AML risk assessments for new and existing clients Responsible for static data maintenance, document scanning , and record keeping Support the Busin...
- ...PO readiness assessments. Prepare and review necessary documentation, including prospectuses and regulatory filings. Ensure compliance with all relevant securities laws and regulations. Stay updated on industry trends and best practices in IPO services. Work...
- ...aging in assignments within the areas of Front Office, Middle Office, or Back Office, such as Prime Brokerage, Customer Services, Compliance, Corporate Secretarial Services, which will be assigned based on the overall assessment conducted during the interview process. ...
- ...ion throughout the project lifecycle Collaborate with IT teams to ensure adherence to established IT governance, security, and compliance standards Prepare and present project reports, including project status, budget utilization, and key performance indicators, t...
- ...ports and summaries for the Medical Director, highlighting trends, discrepancies, and areas for improvement. Support audit and compliance checks by organizing and providing necessary documentation. Cross-Unit Support Coordinate with the operations teams, Drugs...
- ...iance analysis. Collaborate with stakeholders to provide insights into financial performance and strategic planning. Ensure compliance with local financial regulations and reporting standards. Maintain accurate financial records and documentation. Familiarit...
- ...ules and regulatory requirements are met ~ Assist Seniors to research technical issue ~ Keep abreast of changes in regulatory compliance laws, rules and regulations, and advising clients of the operational impact and corporate governance matters ~ Help developing ...
- ...workstation environment Support enhancement and projects Maintain and review IT hardware and support contracts. Maintain compliance to Group Policy, Procedures and Standards Requirements University graduate with major in computer science, information t...
- ...cross a wide range of industries. We're looking for a proactive, detail-oriented individual with a passion for tax to support our compliance and advisory functions. Your New Role This list of duties is not exhaustive and may change from time to time according to b...
- ...including the processing of vendor invoices · Ensure that all invoices are processed in a timely and accurate manner and are in compliance with company policies and procedures · Ensure that vendor statements are reconciled on a timely basis and resolve any discrepan...
- Requisition ID: 14128 Key Responsibilities: Provide corporate and individual tax compliance services to clients. Support Seniors and Managers to provide tax and business solutions to clients. Assist to identify and address client needs and participate on e...
