Job Responsibilities:
An excellent opportunity for gaining experience in compliance assurance activities.
Promote ethical and proper business practices via assurance review in various areas like dealing insecurity, anti-trust and fair competition, AML, data pri...
...d specializing in wealth management.
Provide support on transaction monitoring and report preparation
Assist to conduct AML Compliance review/ testing
Assist to implement the AML policies and procedures to manage the financial crime risks
Degree holder or ab...
Bloomberg's Legal & Compliance Department plays a critical role in supporting our businesses and operations around the world. We move q... ... on the region you are submitting an application for.
Contract will be administered by third-party vendor as a dispatched wor...
Key Responsibilities:
*Providing compliance advice to support the ongoing development of the wealth management business regarding applicable rules, regulations and regulatory expectations, with a focus on product suitability
*Assisting on licensing requirement,...
...HQ;
Monitor overall business operation and conduct AML/KYC/Compliance auditing to ensure compliance with internal policies and exte... ...ssues;
Prepare, review and amend legal documents, business contracts, agreements, correspondence and any other documentation to fi...
... 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...
...related works and offer advice on licensing issues
Provide compliance advice to the different business units in relation to securit... ...agement business
Review and advise on legal and compliance contracts and documentation
Handle and implement compliance requests...
...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...
...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...
... Kong, we give our employees sufficient opportunities to shine and excel in their areas of work.
Title: Compliance Trainee (6 months renewable contract)
**Preferred Availability: Available to work full-time during summer and a minimum of 2 days (or 4 half da...
...es; and provide other departmental support.
Terms of Appointment: Successful candidates will be appointed on non-civil service contract terms for 12 months.
Fringe Benefits
(a) Rest days, statutory holidays (or substituted holidays), annual leave, maternity lea...
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...
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 ...
...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...
...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...
...ssist on implementation of databases to support business applications.
Ensure the Database System infrastructure is fulfilling compliance/security requirements
Assists in conducting DR Drill and BCP process.
Follow guidelines to execute SQL program for data pat...
...
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...
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...
...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...
... 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...
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...
We invite qualified candidates to apply for the post of Contract English Teacher commencing on September, 2024.
Duties :
~Teach General English
~Teach and conduct NET lessons for Primary 3-5
~Lead extra-curricular English activities, including a reading and speak...
...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
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...
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...
...ects
Manage the commercial team, supervise the preparation of pre-qualifications submissions, commercial review of tenders, sub-contract tender and related documentation
Oversee the project cash-flow by timely, complete and proper submission of interim application...
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 ensu...