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- Responsibilities : Review and enforce compliance programs in accordance with the policies and guidelines of the bank and regulatory ... ...regular and ad-hoc compliance reviews and self-assessments; Assist in compliance-related projects, initiatives, and system launch...
- ...osition provides you with the opportunity to learn and provide compliance management and support. Job Responsibilities: Handle in... ...d verification Draft simple correspondence and documents Assist in preparing work reports, meeting minutes Maintain filing ...
- ...itor audit process and communicate with audit team to follow up outstanding compliance documents; Provide general clerical support to the audit team to ensure smooth audit flow; and Assist to complete ad-hoc assignments. Requirements ~ Experience in auditing...
- AML Compliance Manager / Assistant Manager Responsibilities: Assist the AML Team Lead and AMLCO in discharging AML/CFT duties; Assist in developing and updating AML policy and procedures for the Branch; Provide AML advice to Management, business and opera...
- ... recurring client engagements Consolidate the search results in presentable format for internal dissemination Report to the Compliance team leader Requirements: Diploma or above with major in business related studies Minimum one year experience in commerc...
- Assistant Legal Manager – Legal and Compliance (Banking) Responsibilities: Instruct and liaise with external counsel on litigation matters and provide accurate and strategic advice to the management and the relevant internal units; Draft, review and negot...
- ...sponsibilities: ~ Provide prompt, sound and consistent compliance advice, interpretation and recommendation on business and new ... ...s reporting frameworks. ~ Handle other compliance matters or assist projects as assigned by management from time to time. ...
- ...ons: 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...
- Responsibilities: Formulate, review and update relevant compliance manual, compliance plan and procedures Implement and update relevant compliance policies and standards in accordance with applicable MPFA, SFC, HKMA, CR and other regulatory requirements Revie...
- Compliance Senior Manager / Manager Job Responsibilities: - Handle corporate and individual SFC licensing applications - Arra... ...L and CRS/FATCA - Handle other general compliance matters or assist projects as assigned Requirements: - University gradua...
- Job Descriptions ~ Develop and implement compliance policies and procedures to ensure the organization operates ethically and in compliance with applicable Hong Kong laws, regulatory requirements and internal policies. ~ Create an annual compliance promotion plan, ...
- ...opportunities and competitive compensation packages. Risk and Compliance The Risk & Compliance function is a Second line of defence (... ...d optimizing relations with risk owners and control owners. Assist the senior management, the leadership of the Compliance functi...
- Our client, a Global Asset Management firm, is seeking an experienced and self-driven Compliance Professional to join their Hong Kong team. This key regulatory role offers the opportunity to work closely with the Head of Compliance and serve as a direct liaison with th...
- ... ~ Bachelor's degree in Computer Science, Information Security, or a related field ~1-3 years of experience in IT security, compliance, or audit ~ Familiarity with risk assessment methodologies, audit processes, and security frameworks ~ Knowledge of security ...
- MISSION he Risk & Compliance Manager plays a critical role in supporting our mission to maintain a resilient and effective risk management and compliance framework that safeguards the organization while enabling sustainable growth in our precious metals trading oper...
- ...chasing power to cater for investment needs from sophisticated investors. We are seeking a high caliber to join us as Business Compliance Manager. Principal Responsibilities Keep abreast of relevant group guidelines as well as regulatory requirement and identif...
- ...ent, and to creating a workplace culture that values collaboration, innovation, and excellence. Responsibilities Provide compliance advisory service and support to business and operation units within the financial institution and the group as well as providing ...
- ...eds from sophisticated investors. We are currently seeking a high caliber professional to join our team as Securities Business Compliance Manager. Principle Responsibilities To take leading role in the Business Development and Controls team and work on the incr...
HKD 50k - HKD 100k /月
As a Business Compliance Officer, you will ensure adherence to regulatory requirements and internal policies within the fintech industry. This role is based in HK and you will be the main contact person for compliance related projects between different teams within com...- Responsibilities: Handle compliance work in relation to securities brokerage, ECM and DCM business; Handle Chinese Walls and cont... ...ing procedures, independence checks, staff dealing matters; Assist in transaction monitoring; Update and review policies and r...
