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- Responsibilities: Provide operational support in performing compliance functions and statutory requirements of SFC (Type 1 and 6 licenses) to ensure full compliance with regulatory and internal control requirements Ensure company policies, internal control proce...
- ... 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...
- Key Responsibilities: Develop, implement, and monitor compliance policies and procedures to ensure adherence to Hong Kong SFC regulations and other applicable laws. Conduct regular reviews of compliance systems and controls to ensure they remain effective and up ...
- ... 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...
- ...onmental protection, medical care and other hot industries. Key Responsibilities 主要职责: · 对公司资产管理和自营业务提供合规意见; · To provide compliance advice in relation to asset management and proprietary investment business. · 组织各部门落实并对《海外账户税收合规法案》和《共同汇报准则》提供合规意见； · To provi...
- To Compliance Officer Job 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 c...
- 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...
- ...ual fund business, Da Cheng International Asset Management Co. Ltd. is currently seeking qualified candidates for the position of Compliance Officer or Compliance Manager to address our growing investment demands. Successful candidates will be offered a collaborative wo...
- 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...
- Job Description: We are looking for an energetic and results-oriented 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 ensuring...
- ...nd Futures Commission (SFC) in Hong Kong for Type 1, 2, and 4 regulated activities. Your new role As an Associate Director, Compliance, you will lead compliance initiatives and ensure adherence to regulatory requirements and internal standards for Hong Kong operat...
- Relevant exp., gd Eng, Mandarin HK based, some travelling need
- 【Key Responsibilities】 ▶Develop and enforce internal compliance controls, including systems, processes, and documentation standards. ▶Liaise with government agencies to ensure regulatory compliance and support audits. ▶Handle applications for import and export perm...
- 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...
- Our client is a charitable organization seeking a Manager with a focus on compliance and governance. This role is essential for ensuring effective oversight of charitable programs and initiatives. Key Responsibilities: Partner with senior leadership to develop ...
- Position Overview My client is seeking for dynamic and driven AVP, Equities Compliance to join a global investment bank. This role will be pivotal in ensuring compliance with regulatory requirements and maintaining the integrity of our trading environments. The ideal ...
- The Company Our client is a Global Banking Group, with strong presences in Asia, with a long history and established compliance team and culture in HK. As an important part of their Product Compliance Team, they are now looking for a knowledgeable, stable and driven...
- This role involves providing compliance guidance across front, middle, and back office functions, managing regulatory inquiries, and supporting AML/CFT efforts and internal investigations. It requires strong knowledge of SFC regulations, securities products, and experi...
- Responsibilities: Review, update, test and enhance the compliance frameworks on the Company's various business activities and initiatives Handle inquiries and investigation from various regulators Supervise licensing matters/KYC checks Develop and conduct i...
- ...g investigations by analyzing transactions and drafting Suspicious Activity Reports (SAR) for regulatory submission. Oversee compliance with local KYC regulations, ensuring effective processing, monitoring, and collaboration with stakeholders for timely updates. ...
- ...ators; # Conduct gap analyses on the latest regulatory requirements and the bank’s operation manuals; # Review and update all compliance related policies/procedures/manuals in a timely manner; # Tracking on the progress/remediation status to ensure the compliance ...
- Job Description Provide operational support in performing compliance functions and statutory requirements of IA and SFC to ensure full compliance with regulatory and internal control requirements; Handle statutory reporting and inquiries from regulatory bodies an...
- Job Responsibilities: Assist in reviewing new product proposals, policies and procedures to draw attention to compliance concerns Provide advice to different departments on compliance and regulatory related matters to help them to meet regulatory requireme...
- Role: Compliance – WM KYC Location: Hong Kong Contract: 12 Months ( Possible Extension) Job Summary To diligently carry out the account recertification process and ensure accounts are compliant, especially on issues of money laundering, adverse me...
- Job Descriptions: To provide compliance review and advisory; To develop and update compliance policies and guidelines; To review materials, policies and procedures developed by the first line of defence to ensure compliance with the regulatory requirements; ...
- Degree holders with relevant exp., Good Eng, Mandarin with fty visit exp
- Job Responsibilities: Assist in the daily operations of business compliance activities. Assist in handling license applications. Contribute to the development and enhancement of the company's compliance management system, including improving compliance d...
- Job Summary A rapidly expanding and high-performing asset manager group is seeking a Compliance Officer to join our team, adding a new position due to ongoing business growth. We are looking for a Compliance Officer to ensure that our companies adheres to all relev...
- This is a senior compliance role at a Chinese based fintech firm, where you'll provide regulatory guidance across trading, product, and cross-border activities. You'll act as the key liaison with the SFC, monitor regulatory changes, and collaborate with internal teams ...
- KEY RESPONSIBILITIES Manage on-field compliance issues on a weekly basis, including reviewing incidents, coordinating disciplinary actions and ensuring timely resolution Liaise directly with judicial officers, referees, teams and other relevant stakeholders to fac...