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- Overview Susquehanna is seeking a Compliance Associate to join our team supporting the Institutional Sales Trading Desk. This role will play a key part in the development of our institutional trading platform in APAC, including the design and implementation of compli...
- ...er quarter to use at your discretion, subject to manager approval. Reporting to the Head of Asia Compliance who is based in Singapore, the Compliance Senior Associate will assist with the Firm's global compliance program, with particular emphasis on supporting the F...
- ... with creative solutions and considered thought leadership. For further information about Nomura, visit Job title: Compliance Officer, Associate Corporate Title: Associate Department: Compliance Control Room Location: Hong Kong Department overview: ...
- ...towards the AUM growth & revenue generation from the relationships with our company; Responsible for complying with regulatory compliance as set out by relevant authorities. Qualifications & Requirements: ~2 year's relevant experience preferred; ~ Previous ...
- ...al counterparts to ensure alignment of approach in relation to the above areas Requirements Relevant experience in compliance, legal, audit, risk management or related function at a large financial institution or financial services regulator Good kno...
- Compliance Senior Associate - Regional Securities Firm Client Details Our client is a well-established regional securities firm, is seeking a motivated Compliance & Anti-Money Laundering (AML) Senimro Associcate to join their team. This role offers the opportuni...
- ...sanctions screening and monitoring; country/industry risk; and bespoke inquiries. As an Associate, you will support the overall research and due diligence within our Compliance Practice, by gathering information to help Kroll’s clients onboard and manage the risks as...
- Job Description Join a team where your attention to detail and passion for compliance will help shape the future of financial markets. As an Associate in Equities Compliance, you will have the opportunity to work alongside experienced professionals, develop your ex...
- ...qualified and enthusiastic candidate for the following position: GENERAL SUMMARY The Senior Associate / Associate is responsible to provide support to both compliance function and risk management function of the Hong Kong Branch. ESSENTIAL FUNCTIONS Essentia...
- Key Responsibilities Assist senior relationship managers in maintaining and expanding client relationships, ensuring client needs are met. Prepare client reports and proposals, providing market analysis and business insights. Manage and update client data, ...
- ...t-growing, founder-led company. The Role The Research Compliance team is a dynamic, external and internal-facing function whic... ...rowing business segments globally. As the Research Compliance Associate you will report into the Research Compliance Manager and work...
- 某券商招募资管 compliance ，Associate- VP， 最好有ETF经验，感兴趣请联系Katherine ***微信号：Katherine_Shiu，欢迎转发自荐 Associate- VP, Compliance (Asset Management & ETF Fund Focus) Job Responsibilities: Act as a specialist in product compliance to discharge compliance functions ...
- ...wth are part of the culture. Your new role entails: Partner with Private Wealth Management business and control partners (Compliance, Legal) to ensure regulatory controls and governance frameworks are effectively implemented. Perform daily supervisory and t...
- ...ng of internal procedures & policies; Provide constructive compliance solution and advice to Types 1,4,6,9 businesses; Monitorin... ...nder pressure Less experienced candidates will be hired as Associate. Interested parties please send CV, to the Human R...
- ...a high-growth commercial environment. Client Protection Associate Responsibilities What do you want your career to look like... ...eams to ensure their clients are always served to the highest compliance standards while enabling their fast-growing commercial succes...
- Key Responsibilities - Regulatory Compliance: - Stay updated with HK's regulatory environment and global compliance requirement... ...s and Web3 services. - Liaise with regulators and industry associations to maintain compliance best practices. - Risk Management &...
- ...standards and professional growth are part of the culture. Your new role Manage the KYC Periodic Review process to ensure compliance with policies and procedures, including face-to-face meeting requirements, PEP reviews, account change requests, and transaction ...
- ...markets through real-time trade monitoring and enforcing rule compliance of HKEX Participants. It also cooperates with Hong Kong and M... ...tion events, including seminars and roundtables with industry associations, and publication of compliance bulletin Prepare presenta...
- ...onetary Authority. Responsibilities: Assist the Head of Compliance in formulating and maintaining Compliance policies and proced... ...ther suitable positions within Public Finance Limited and its associated companies. For details, please visit the Company’s website
- ...and strategic recommendations Adhere to best practices and compliance requirements, ensuring investment activities are in line with r... ...gments in a fast-paced environment Have basic knowledge of PWM products, i.e. hedge fund, structure notes, cash bond Exce...
- ...egulatory advice in relation to the Private Wealth Management ("PWM") business of Pictet Group in Hong Kong so as to ensure adheren... ...o regulatory requirements, in particularly regulatory advisory, compliance monitoring and internal compliance/ethnical standards. Ass...
- ... on international expansion and specializing in wealth management. Advise the senior management and relevant business units on compliance related issues Provide support to business units in the development, implementation and regular review of products, policies a...
- ... policies and procedures to ensure them complying with the regulatory requirements, formulate and supervise the implementation of compliance review plans, conduct sample transactions checking, particularly relating to insurance and investment activities Advise on new...
- ... Reporting to the Responsible Officer and matrix to the Chief Compliance Officer (FWD HK & Macau), this role acts as the second line o... ... are vacancies in any of our subsidiaries, holding companies, associated or affiliated companies of, or companies controlled by, or un...
- ...in today's environment. The practice focuses on key risk areas relating to strategic level, operational, financial and regulatory compliance. KPMG's Consulting Services has grown substantially since its establishment. Our Governance Risk Advisory Services practice pr...
- ...h our company expansion, an excellent career opportunity is offered to the right candidate to join us. Reporting to Associate Director of Compliance Department, you are responsible for: Identify and assess compliance risks along with the Group’s development and da...
- Responsibilities: Familiarize with financial business, communicate business needs, organize materials, and be proficient in the stock market. Familiarize with company/institutional business, communicate business needs, and organize materials. Assist ...
- ...utational issues, and make sure they're properly handled and approved. Make sure review procedures meet regulatory and Group Compliance requirements. What you'll need to succeed ~2-3 years of experience in compliance or AML areas ~ Fluent in English an...
- Conduct compliance monitoring reviews of regulated activities, e.g. securities & futures trading, corporate finance and asset management. Monitor staff dealing activities. Anti-money laundering compliance Compile relevant information for submission in response...
- Your new role - Handle name screening and trigger events for existing banking clients - Assist with other compliance tasks for internal teams What you'll need to succeed - 2-3 years of private banking experience in name screening and AML duties - Fluent in...