- 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...
Susquehanna International Group
香港16 天前 - ...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...
Kroll Associates (Asia) Limited
香港3 天前 - ...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
Public Finance Limited
香港3 天前 - ...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...
Futu Securities International (Hong Kong) Limited
香港27 天前 - ...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: ...
- 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 ...
Futu Securities International (Hong Kong) Limited
香港28 天前 - ...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...
- ....: 499806 Employment Type: Contract Departments: Legal & Compliance and Operational Risk Management Department Job Functions: ... ...poses only. It might also be disclosed to our subsidiaries or Associated Companies to process the information for appointment. Applica...
Bank of China (Hong Kong) Limited
香港3 天前 - ...: 498495 Employment Type: Full time Departments: Legal & Compliance and Operational Risk Management Department Job Functions: ... ...poses only. It might also be disclosed to our subsidiaries or Associated Companies to process the information for appointment. Applica...
Bank of China (Hong Kong) Limited
香港22 天前 - ...nd the resources of a global trading powerhouse. As part of its continued growth in the Asia-Pacific region, it is now seeking a Compliance Officer to join its Hong Kong office. Key Responsibilities Reporting to the Head of Compliance, Hong Kong, you will: Se...
Aquis Search
香港29 天前 - ...ies and manuals etc. Provide advice on risk management and compliance requirements to first line of defense Identify alerts and ... ...poses only. It might also be disclosed to our subsidiaries or Associated Companies to process the information for appointment. Applica...
Bank of China (Hong Kong) Limited
香港10 天前 - ...to business units in the interpretation and implementation of compliance requirement. Collects rules and regulations of local, main... ...poses only. It might also be disclosed to our subsidiaries or Associated Companies to process the information for appointment. Applica...
Bank of China (Hong Kong) Limited
香港3 天前 - About the role Prowess Recruitment Consulting Limited is seeking an experienced Compliance Officer - Finance to join their Client team in Hong Kong. This full-time role will play a vital part in ensuring the organisation operates in line with financial regulations ...
Prowess Recruitment Consulting Ltd
香港25 天前 - Job Purpose & Objectives ● Assist and support business management in identifying, assessing, measuring and mitigating compliance risks. ● Provide reasonable assurance that the Bank and its employees comply with applicable laws, regulations, internal rules and eth...
BBVA
香港7 天前 - Our client, a leading life insurance company, is seeking a Compliance Manager to enhance compliance initiatives related to AML and FATCA. This role is crucial for ensuring that regulatory requirements are met and compliance frameworks are effectively implemented and re...
ConnectedGroup Limited
香港7 天前 - Responsibilities: Develop and implement compliance policies and procedures. Monitor and review IPO-related activities to ensure regulatory compliance. Conduct risk assessments and compliance audits. Collaborate with internal stakeholders to address complia...
Futu Securities International (Hong Kong) Limited
香港29 天前 - Responsibilities : Assist to supervise licensing related works and offer advice on licensing issues Provide compliance advice to the different business units in relation to securities brokerage and wealth management business Review and advise on legal and com...
Futu Securities International (Hong Kong) Limited
香港11 天前 - Responsibilities: Conduct investigation on compliance and red flags, liaise and report suspicious case to Securities and Futures Commission (SFC), Joint Financial Intelligence Unit (JFIU) and other law enforcement units on reasonable grounds; Address response to ...
Futu Securities International (Hong Kong) Limited
香港11 天前 - 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...
- 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 opportunity...
- ...rs a long-term view that aligns our perspectives with those of our clients. About the Role Position Overview The Compliance Officer will support Wellington Management’s global investment & trading compliance program, focusing primarily on compliance sup...
Wellington Management Company, LLP
香港28 天前 - ...ur integrated wealth management services no matter where they are. 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...
Bank of Communications Co., Ltd. Hong Kong Branch
香港5 天前 - ...ties Act as the contact point of regulatory and law enforcement bodies Handle regulatory enquires & inspections and general compliance matters Provide advisory support to the business units on regulatory and compliance requirements (e.g. marketing materials, ne...
Industrial and Commercial Bank of China (Asia) Limited
香港1 天前 - ... a member of our successful team. If you are looking for a career, not just a job, here is a good opportunity for you. Perform Compliance checking, monitoring and review Assist in formulating and maintaining Compliance policies and procedures Ensure the Bank’s ...
Public Bank (Hong Kong) Limited
香港6 天前 - ...s listed universal banking group focusing on international expansion and specializing in wealth management”. ~Develop & monitor compliance to ensure that the Bank’s operation are in compliance with statutory, regulatory and internal requirements ~Advise senior manag...
Bank of Communications Co., Ltd. Hong Kong Branch
香港2 天前 - ...d opportunity for you. Assist in formulating and maintaining compliance policies and procedures Perform compliance investigation, ... ... kept for 3 months as may be considered for other suitable positions within Public Bank (Hong Kong) Ltd. and its associated companies.
Public Bank (Hong Kong) Limited
香港6 天前 - Industrial and Commercial Bank of China (Asia) Limited (“ICBC (Asia)”) is the flagship of overseas business of Industrial and Commercial Bank of China Limited (“ICBC”) – currently the largest commercial bank in China, and it is one of the domestic systemically importa...
Industrial and Commercial Bank of China (Asia) Limited
香港1 天前 - ... Conduct CDD and AML risk assessment approvals. Conduct self-checking for the departments’ CDD and AML processes. Carry out compliance risk monitoring of various products, businesses and management activities. Perform gap analysis to fulfill regulatory requirem...
Industrial and Commercial Bank of China (Asia) Limited
香港1 天前 - ...f other suitable openings. All personal data collected will be used for recruitment related purposes strictly in accordance with the Bank's personal data policies, a copy of which will be provided upon request by contacting our Personal Data Compliance Officer.
Shanghai Commercial Bank Ltd
香港1 天前
香港Associate pwm compliance招募
4,904 职位空缺
