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- 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,...
- ... laundering name screening, file archive, etc.; Monitor 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 as...
- RESPONSIBILITIES Report to Head of Legal & Compliance Provide legal and compliance advice and solution to management and depar... ...lders resolutions and other documentations Keep abreast on regulatory developments and advise management and departments accordingl...
- ... 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...
- ... Manage relationships with underwriters, legal advisors, and regulatory bodies. Conduct thorough market research and analysis to i... ...ion, including prospectuses and regulatory filings. Ensure compliance with all relevant securities laws and regulations. Stay up...
- ..., or Back Office, such as Prime Brokerage, Customer Services, Compliance, Corporate Secretarial Services, which will be assigned based... ...s required Compliance: · Gather, analyze and summarize regulatory updates and industry best practices for the team. · Review...
- ... with internal and external parties, including solicitors and regulatory bodies ~ Ensure all statutory rules and regulatory requirem... ...rch technical issue ~ Keep abreast of changes in regulatory compliance laws, rules and regulations, and advising clients of the oper...
- ... the continued review, updating, and monitoring of the Firm’s compliance with HKSQM 1 and global network policies and procedures. S... ...s by the AFRC, the global network, and other professional and regulatory bodies, and communicate any findings, implement improvements,...
- ...ification would be an advantage At least 1-3 years of trust administration experience Strong knowledge of the trust regulatory and compliance regime Detail oriented, with the ability to work under pressure and minimum supervision Strong work ethics, profess...
- ...e advices/analysis Execute full sales process with good sales planning/strategies Comply with full compliance with internal guidelines and external regulatory bodies Requirements Minimum 2 years of experiences from investment/wealth management/insurance...
- ...Services protects value. Our Financial Services practices provides advisory services to financial institution in addressing regulatory compliance matters, including compliance reviews, policy and procedures development, examination readiness reviews, risk assessments a...
- ... records Adherence to deadlines for completion Customer Due Diligence reviews to ensure adherence to regulatory requirements Identification of compliance and/or risk issues and recommendation of remediation required with escalation where required to the Region...
- ...tact for employee inquiries, addressing concerns and ensuring compliance with company policies and local labor laws. Provide support i... ...ompany policies, and industry best practices. Stay updated on regulatory changes and assist in making adjustments to company policies ...
- ...services Engage in marketing initiatives to develop new business and enhance customer relationships Ensure compliance with operational risk controls and regulatory guidelines Requirements: HKCEE/HKDSE graduate with 1+ year experience (financial institution preferred) Ca...
- ...local market trends, competitor activities, demographics, and local regulatory changes. Partner with the product team to ensure products meet customer needs while maintaining competitiveness, compliance, and profitability. Requirements ~ Bachelor’s degree in Financ...
- ...he right talents in the right place Review and devise HR policies and procedures in line with operational needs and in compliance with regulatory requirements Facilitate and monitor progress of HRMS migration project & review related HR operational duties Compi...
- ... new projects planning, testing and implementation of loan product launch and system enhancement Contact point for IA/EY/Compliance/ regulatory bodies to handle regulatory enquiries/ reporting Provide administrative support to the department Responsible for CRA...
- ... · Prepares FATCA/CRS files and arrange respective reporting before regulatory deadlines. · Act as the key contact with clients and investors on KYC related matters. · Ensures strict compliance with internal procedures and guidelines as well as the regulatory req...
- ...East, Africa and Asia under newly forming regulations. As the regulatory landscape has evolved over this time, they have evolved with ... ...anagement efforts, ensuring timely responses to incidents and compliance with regulatory requirements. Host or support educationa...
- ...l business connections Maintain client relationships with good service quality and ensure thorough KYC is conducted in compliance with regulatory requirement Identify clients’ investment needs. Advise and provide customized private wealth management solutions whic...
