Search Results: 3,495 职位空缺
...manufacturer of compounds with applications in the field of leisure/toys and hygiene.
We are looking for an experienced
Compliance Officer
Responsibilities
To control and monitor all aspects of set compliance related rules and processes, such as; materi...
We seek a highly motivated Compliance Officer to assist us in a dynamic financial markets environment ( Based in London, we are a global, mid-size inter-dealer broker and advisors in corporate finance and capital markets. In broking, we specialize in financial derivati...
...rrently seeking high caliber candidates to join our big family.
Responsibilities :
~Monitor trading activities and conduct compliance monitoring reviews;
~Keep informing the up-to-date regulatory and legislative change;
~Review account opening documents and A...
...nt.
For other vacancies, please visit our website at
Job No.: 492271
Employment Type: Full time
Departments: Legal & Compliance and Operational Risk Management Department
Job Functions: Legal, Risk Management
Responsibilities:
~Provide advisory ser...
...nt.
For other vacancies, please visit our website at
Job No.: 499187
Employment Type: Full time
Departments: Legal & Compliance and Operational Risk Management Department
Job Functions: Legal, Risk Management
Responsibilities
~Assist Team Head to m...
...ns or consultation papers issued by regulatory bodies, and make recommendations to comply with regulatory requirements
~Prepare compliance reports for management review
Requirements:
~Degree holder
~Minimum 3 years relevant experience
~Good knowledge in reg...
... the business strategies, goals and initiatives.
Roles & Responsibilities
Proactively contribute to the enhancement of AML compliance processes and controls
Conduct thorough analysis to identify potential AML issues, red flags, gaps, and risks in KYC informati...
...igh calibre professional to join our department.
Responsibilities
Act as primary or secondary auditor in market data compliance audits, prepare audit reports and transform massive data into meaningful analysis reports
Perform checking on unauthorized use...
Compliance Manager
Responsibilities:
Act as the MIC, MLRO and complaints officer of the Company for the RA1, 2, 4, 5
Identify and evaluate compliance risks of the operations and business activities of respective business lines
Provide day to day regula...
...uding preparing written plans, reports & providing documents to the HQ;
Monitor overall business operation and conduct AML/KYC/Compliance auditing to ensure compliance with internal policies and external regulations;
Advise and review account opening processes;
...
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 co...
...aliber to join our Bank
Job Responsibilities:
Assist in handling daily transaction monitoring
Provide support to the Compliance Department
Handle ad-hoc projects as assigned
Job Requirements:
Degree holder, with 1~2 years relevant working experien...
...
In relation to any one or more of the Type 1/4, Type 2, Type 1/6 and Type 4/9 licensed activities:-
Advise business on compliance issues in transactions and provide ongoing guidance to the business on compliance requirements.
Advise on compliance issues an...
Scope of Responsibilities:
~To design and implement compliance programs to address market conduct, meet regulatory requirements and internal policies on sales compliance, conduct risk and personal data privacy
~Providing compliance advice to business units to ensur...
Responsibilities:
Handle SFC licensing matters including but not limited to delisting or relisting applications;
Perform compliance control and monitoring programs including but not limited to control room, AML checking, and trade surveillance;
Handle the thi...
...nd issue review reports
Conduct Product Due diligence, review legal paper-term & condition, work with product team to build up compliance procedure especially fund management.
To liaise with regulators and other key stakeholders and and review regular compliance c...
...as Financial Markets, Strategic Products, Sectors, Lending and Transaction Services and other support functions.
What does the Compliance Team do in ING?
We cover the regulatory framework to provide advice regarding the regulations and ING policies. We support the b...
...tual bank licensed by the Hong Kong Monetary Authority.
Job Description
This position reports to Senior Manager, Regulatory Compliance while working alongside other Legal and Compliance Department staff to ensure the Bank’s compliance with all the relevant legal a...
HKD 50k - HKD 100k /月
This role will report directly to the head of legal and compliance whilst working alongside an AML/KYC colleague. This role will focus on general compliance duties including regulatory compliance, audit, risk, and business compliance advisory.
Client Details
My c...
... Handle all licensing matters (SFC, IA and MPFA), application, notification, annual return and survey for regulators
Carry out compliance trainings to the business units and provide advice to the management
Draft, review and negotiate agreements and other legal do...
