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- ... and meet audit and regulatory requirements. Help promote risk and control awareness across the digital team and support staff compliance training initiatives. Participate in regular assessments such as RCSA, ICA, and BCP exercises. Provide assistance during in...
- ...d and making a meaningful impact is rewarded. The incumbent will be part of the Regional Assurance department within the Compliance Office for Asia (ACO) and will report into the Head of Regional Assurance. This role includes, but is not limited to, execution o...
- ...ou a detail-driven, curious professional looking to build a career in compliance within a global legal environment? Our client, a forward-thinking international law firm, is seeking a Junior Analyst to join their Global Business Acceptance team in Hong Kong . ...
- ... 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...
- ... 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...
- Responsibilities: Assist in developing and updating AML policy and procedure; Conduct AML compliance review and monitoring and other routine checking as required; Report the suspicious transactions to JFIU Prepare reports to Senior Management, and Regulato...
- Degree or HD holders, gd Eng, Mandarin Exp in fty auditors, social compliance, environmental compliance HK job with some travelling
- Job Description: We are looking for an energetic and results-oriented Senior Compliance Officer to join our team. In this role, you will play a vital part in supporting the day-to-day operations of the team while gaining experience with the compliance framework and e...
- Tasks and Responsibilities Assist in reviewing business documents and related materials to ensure compliance with relevant laws and regulations Responsible for license applications and the establishment of regulatory frameworks Handle ad-hoc assignments as...
- 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...
- ...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...
- 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...
- 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...
- Responsibilities : Review and enforce compliance programs in accordance with the policies and guidelines of the bank and regulatory bodies; Handle enquiries from regulators such as HKMA/SFC/DPB and coordinate onsite/offsite/ad -hoc surveys; Conduct regular and...
- To Compliance ManagerJob Description Responsibilities: Carry out all compliance functions to ensure the Company adheres to relevant legal and regulatory requirements; Develop and update compliance policies and procedures; Prepare internal and external co...
- ...ke a difference in the lives of individuals, families and communities around the world. Job Description: Job purpose The Compliance Officer reports directly to the Chief Compliance Officer, Asia providing overall operational, administrative, and functional supp...
- 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...
- ...nitor security tools such as firewalls, SIEM, endpoint protection, and other threat detection platforms. • Collaborate with IT, compliance, and operational teams to ensure consistent adherence to security policies and best practices. • Assist in internal and externa...
- ...ictions) and follow up on missing documentation. Compile and deliver accurate MIS reports. Qualifications Experience in Compliance or Risk Control, ideally with client suitability monitoring. Familiarity with banking products such as FX, Money Market, Funds...
- ...ive 5 additional remote days per 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...
- Responsibilities Ensure compliance with SFC regulations for Type 1, 4, and 9 activities; Type 6 is a plus but not mandatory Monitor regulatory developments and assess impact on business operations Liaise with SFC and other regulatory bodies as needed ...
- Job Description Compliance role (Equities Derivatives) Purpose of the role To provide data-led expert oversight and check and challenge on business and compliance matters to evidence that the organisation is operating in compliance with Client’s legal, r...
- Relevant exp., gd Eng, Mandarin HK based, some travelling need
- Excellent opportunity for Quality and Compliance experts to join their regional team in Asia. Client Details Our client is an innovative powerhouse in the outdoor lifestyle industry, crafting and curating top-tier gear and equipment that empower adventurers to embr...
- Degree or HD holders, gd Eng, MandarinExp in fty auditors, social compliance, environmental complianceHK job with some travelling
- ...vite you to become part of our team and to pursue a bright and exciting future. Position Summary To control and monitor the compliance related matters of wholesale banking for complying with the regulatory requirements and internal risk management framework. ...
- ...ng clients 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 o...
- ...he job: 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...
- ...ugh competitive pricing, efficient execution, and sound risk management. Key Responsibilities - Reporting to the Head of Compliance, Hong Kong, you will: Serve as a trusted Compliance advisor to senior management and trading teams, providing strategic and ...
- Responsibilities: Provide prompt, sound and consistent compliance advice, interpretation and recommendation on business and new financial products. Co-ordinate and handle enquires from business departments regarding regulatory compliance requirements and provide...