A top PRC firm is seeking a Hong Kong qualified associate with takeovers code and listing rules experience to join its Hong Kong office. You will be joining an expanding team and working with an experienced partner on cross-border transactions and complex matters. Com...
Pfizer is seeking an Associate Corporate Counsel/ Senior Manager to join our APAC/ Greater China International Investigations Team... ....
Responsibilities include:
Provide support to Regional Compliance Directors in managing the China investigations docket and jun...
...ed to PIMCO being recognized as an innovator, industry thought leader and trusted advisor to our clients.
The Regulatory Compliance Officer will support general business and regulatory compliance matters for Hong Kong and also provide periodic regional coverage...
Business Function
Group Legal, Compliance & Secretariat ensures that the bank's interests are protected by zealously guarding ... ...ures
Job Requirement
Degree holder
Qualified as Associate AML Professional (“AAMLP”) or Certified AML Professional (“CA...
...492271
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...
...sibilities:
~Assist in reviewing policies and/or conducting compliance control/audit
~Prepare compliance reports for management re... ...r other suitable positions within Public Finance Ltd. and its associated companies. For details, please visit the Company’s website
... the regulators;
Handle on-going SFC reporting matters
Assist to update internal policies and procedures to ensure relevant compliance standards are complied with
Ensure company policies, internal control procedures & manuals are up-to-date with regulatory requ...
Responsibilities :
Provide compliance advice to business units and associated parties, including comments on new business initiative and marketing campaigns.
Formulate and implement policies and procedures to ensure compliance with the regulations.
Monitor an...
...People's Republic of China and Southeast Asia. As we strive to grow and broaden our business, we are actively seeking exceptional compliance assistant to join our dynamic and driven team.
Responsibilities:
Assist in preparing for and responding to routine revie...
VP/ Associate Director, AML Compliance – Equities/ Securities
Team Lead, Trade Surveillance & AML Monitoring
Location: Hong Kong
Main Duties and Responsibilities:
# Covering and manging the team for AML/CTF, Trade Surveillance/ Monitoring and F...
...icious cases for further investigation in accordance with AML compliance requirement
Work closely with operation units and provide ... ... other regulatory requirements
Relevant Practitioners with Associate AML Professional (AAMLP) or Certified AML Professional (CAMLP...
...ed financial services for Chinese clients involved in overseas investment.
Job Responsibilities
Attend to ongoing compliance requirements under the Companies Ordinance, Securities and Futures Ordinance and relevant subsidiary legislation and codes issued...
...al research publication process and coordinate with Business, Compliance and
External Counsel in regard to pre-deal research
• Pr... ...sions
• Facilitate barrier crossing requests and update the associated systems
• Responsible for the maintenance of the Firm’s Res...
The Sompo Legal & Compliance Department and the Sompo Risk Management Department seek an individual to serve in a hybrid role as Manager, Compliance and Risk Management for its operations in Hong Kong. The individual will be responsible for management and oversight in ...
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...
... you will need to collaborate with cross-functional teams to perform due diligence, legal documentation, and regulatory compliance. As a ECM associate, you will also be required to stay up-to-date with market developments, regulatory changes, and industry best practices...
...
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...
... 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...
Role and Responsibilities:
Assist and support the Compliance team in handling core compliance, regulatory, legal, monitoring and surveillance related matters;
Assist and support the Compliance team in handling Anti-Money Laundering and Counter Financing of Terro...
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...
...ent is a multinational fortune 500 company of Business Solutions Supplier, is now looking for an outstanding talent:
Senior Compliance Officer – Japanese Speaking
Responsibilities:
Responsible for company policy and compliance control, including arrangin...
...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;
...
...g culture that values openness and expertise to improving employees’ professional skills.
Our corporate culture also emphasizes compliance, risk awareness, integrity, execution and performance.
Our care for employees’ growth is reflected in all activities. The Compa...
...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...
Our client, a growing FinTech company, is currently seeking a compliance lead with at least 8 years of financial services compliance experience, including at least 3 years of experience in a decision-making role (i.e. MLRO, Head of Compliance, etc). Financial instituti...
...499063
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...
Our client is a reputable investment manager with presence in Asia. They are now looking for a junior compliance specialist to join their established legal and compliance team. Candidates should have prior experience at another asset manager, including in advising on c...
...ransactions, capital raising activities, as well as IPO, ECM, DCM and M&A deals. Candidates should also have experience in conflict of interest, AML, control room and research compliance. Prior experience handling regulators inspection and enquiries preferred. WS10261
...fering a dynamic working environment, good career development opportunities and competitive compensation packages.
Risk and Compliance Division – Regulatory Compliance
The Risk & Compliance function is a Second line of defence (LOD) function, responsible for re...
...ox Storage is seeking a highly motivated and talented Sales Associate to join our team. In this role, you will have the opportunit... ...dBox Storage is committed to meeting and exceeding government compliance regulations and is actively championing even higher standards...