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- Requirement： •University degree in business, law, finance or related disciplines; •At least 1-2 years of compliance experience in licensed corporations is definitely an advantage; •Well versed with SFC regulations and standards, as well as other regulatory require...
- ... 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...
- ... Location: Hong Kong Position Overview The Legal and Compliance Manager needs to lead cross-border legal structuring, complia... ...) and design contingency plans. # Cross-Border Transaction & Contract Management ~ Draft and Review cloud service contracts, pro...
- 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...
- Key Responsibilities Compliance Role: Conduct compliance monitoring (e.g., trade surveillance especially bond products, KYC/AML checks, employee dealing reviews) to ensure adherence to SFC rules. Review existing company policy and procedures. Manage reg...
- Responsibilities: ~ Provide prompt, sound and consistent compliance advice, interpretation and recommendation on business and new financial products. ~ Co-ordinate and handle enquires from business departments regarding regulatory compliance requirements and...
- Responsibilities: Plan and execute comprehensive compliance reviews across business units to ensure adherence to policies and regulations (e.g., AML, KYC). Identify control weaknesses, gaps, and potential regulatory risks during reviews. Prepare clear and act...
- ...d in the regional and global markets. We are looking for qualified individuals to join us. Responsibilities: Handle General Compliance related matters Handle enquiries, inspections, audits from regulators and external parties Assist in compliance monitoring ...
- ...yer in the global maritime industry, is seeking an experienced Contract Manager to join our team. Position Overview The role ... ...uation of contracts to ensure process and statutory/regulatory compliance and to highlight any T&Cs that may conflict with Wallem’s mode...
- Highway Contract no.: 14/HY/2024 Highways Department Term Contract (Management and Maintenance of Roads on Hong Kong Island excluding... ...m maintenance contracts for roads and drainage works, ensuring compliance with contractual and regulatory requirements. Responsibiliti...
- ...ent to training and continual professional development. This position provides you with the opportunity to learn and provide compliance management and support. Job Responsibilities: Handle internal staff’s compliance matters Provide administrative support...
- 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, ...
- ...by offering a dynamic working environment, good career development opportunities and competitive compensation packages. Risk and Compliance The Risk & Compliance function is a Second line of defence (LOD) function, responsible for reviewing and challenging the activi...
- ...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...
- ... Take the lead of Project management, Project calculation, and contract management during bid phase. 5. Risk assessment coordination... ...th Bid Team (deal shaping). 2. Perform Contract Statement of Compliance with global/local legal and finance team. 3. Offer/Contract ...
- ...business, frontline departments or other divisions to ensure retail banking sales and delivery comply with regulatory guidelines, compliance requirements and internal control policies Assist to set up monitoring framework to ensure quality of operational and internal...
- 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...
- 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...
- 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...
- Compliance Senior Manager / Manager Job Responsibilities: - Handle corporate and individual SFC licensing applications - Arrange compliance trainings and keep track of training records - Review client due diligence (KYC) documents submitted by sales on new ...
