Key Responsibilities
Provide Control Room advisory to Private Side businesses and Equity Research Department
Assess and manage potential conflicts of interest and informatio... ...n process and coordinate with Business, Compliance and External Counsel in regard to pre-d...
...9146
Employment Type: Full time
Departments: Investment Management
Job Functions: Risk Management, Compliance / Operational Risk Management
Responsibilities:
~Conduct risk monitoring, control and compliance risk assessments of money market and capital ma...
Elee Consulting Ltd values staff human resource as the most important asset of a company. Please visit our website for more job vacancies
JOB DUTIES:
~ Responsible for answering hotline telephone calls and data entry, General duties of General Office Clerk
~...
...d-class financial products and services, including wealth management and investment, protection, credit cards, and secured len... ...aliber professional to join our team as V ice President, Compliance Business Control Senior Manager - Hybrid (Internal Job Title: Compl Bus Co...
Responsible for answering hotline telephone calls and data entry, General duties of General Office Clerk
Form 5 / DSE graduate or above
Must has Security Personnel Permit holder (QAS)
Work in shift duty, may be overnight shift, work on Sunday and Public Holid...
...sting or relisting applications;
Perform compliance control and monitoring programs including but not limited to control room, AML checking, and trade surveillance;
H... ...ree holder in Business Administration, Risk Management, Law or related disciplines.
Possesses k...
Responsibilities :
Security Control Room clerical job duties
Able to operate basic computers, including Chinese and English input
Requirements :
No security working experience required
Good Cantonese & General English
Good communication and customer...
... to join them
Oversee the identification, assessment and management of key compliance risks across the region. Drive regional consistency and m... ...mum of 10 years’ experience in compliance, legal or other controls related function in the financial services industry. Know...
...pe 1/6 and Type 4/9 licensed activities:-
Advise business on compliance issues in transactions and provide ongoing guidance to the bus... ...lopments.
Ensure business implement adequate procedures and controls to enable the business to comply with SFO and rules and circul...
...r advice on licensing issues
Provide compliance advice to the different business units ... ...tion to securities brokerage and wealth management business
Review and advise on legal ... ...al stakeholders to enhance the internal controls and procedures as well as the system of...
Compliance Manager
Responsibilities:
Act as the MIC, MLRO and complaints officer of the Company for the RA1, 2, 4, 5
Identify and evaluate compliance risks of the operations and business activities of respective business lines
Provide day to day regula...
... prepare various routine monitoring and compliance report for Global Markets operational r... ...ferent gap analysis reports on internal control and compliance mechanism
Formulate... ...rnal control measures, like formulating management guidelines or carrying out sample check...
...vacancies, please visit our website at
Job No.: 499187
Employment Type: Full time
Departments: Legal & Compliance and Operational Risk Management Department
Job Functions: Legal, Risk Management
Responsibilities
~Assist Team Head to manage a team to ...
...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 services to busines...
...current workflow to implement and sustain an efficient quality management system
To formulate materials and provide suggestions to pr... ...onic consumer product products including manufacturing process control
~ Good interpersonal skills, strong leadership and managemen...
Responsibilities:
Monitor and manage the daily compliance works for the Group’s business activities, ensure to comply with the internal policies and external regulations
Key person in drafting, reviewing, negotiating and advising agreements, legal contracts and...
...assisting the department head in credit control activities to recover overdue payments,... ...g up or bankruptcy cases, and report to management.
Collaborate with external parties s... ...cil, Police Force, CIS) to ensure legal compliance.
Support the Department Head in prep...
Major Responsibilities
Assist in handling the relevant legal and compliance works of the company, including drafting and review of documents, participating in project-related meetings, filing etc.
Provide support on board and committees works and assist the...
MNC Life Insurance business - Compliance Manager
Job Responsibilities :
Provide advice and review on compliance issues in relation ... ...eep track of regulatory requirements
Establish compliance controls and perform KYC/ CDD/ AML review and monitoring;
Provide ...
...es
~Be a team member of Corporate Risk & Compliance Department
~Assist supervisor(s) to develop, enhance and implement control measures to rectify issues/ exceptions as ... ...se identified issues/exceptions
~Compile management reports on compliance related areas
~Per...
We seek a highly motivated Compliance Officer to assist us in a dynamic financial markets environment ( Based in London, we are... ...nology platforms.
Conducting training, participating in control room management (of inside information), providing licensing support for t...
Senior Compliance Manager
Eclipse Trading is one of Asia's leading proprietary trading firms. Founded in 2007, we have over 120 employees across three office locations – Hong Kong (our HQ), Sydney, and Shanghai. Our trading expertise and strategies are deployed acro...
... We provide strategic advice, raise capital, manage risk and extend liquidity in markets around the world. Operations Control Management (OCM) team is a key support funct... ...tes with other stakeholders including Audit, Compliance, Front Office etc. both regionally and globa...
...iction(s) where the corporation operates;
Monitor the licensed corporation’s compliance with the established policies and procedures;
Report on compliance matters to senior management;
Review offering documents and marketing materials;
Review AML/KYC docume...
...Functions: Accounting, Audit, Financial Management
Responsibilities:
~Reporting to Senior Accounting Manager of Accounting Control, work independently to ascertain the acc... ...igh risk items
~Perform examination of compliance in accounting policies and internal cont...
To
Compliance ManagerJob Description
Responsibilities:
Carry out all compliance functions to ensure the Company adheres to relevant legal and regulatory requirements;
Develop and update compliance policies and procedures;
Prepare internal and external co...
...erbright is China’s leading cross-border investment and asset management company. It manages private equity funds, venture capital fun... ...tment.
Job Responsibilities
Attend to ongoing compliance requirements under the Companies Ordinance, Securities and Fu...
...country
We empower our employees to manage their financial well-being and help them... ...ibuting to the end-to-end development of controls and monitoring to ensure they are design... ... of all regulatory changes cascaded from Compliance in Regulatory Change Management module i...
...investigation and draft conclusion report
Review, revising and drafting internal manuals, policies and procedures to ensure in compliance with rules and regulation of the SFC and HKEx
Liaise with regulators, legal consultants
Handle inquiries from regulators, e...
...t by the Bank and regulator.
Acts as an account manager and provides support to operation risk and compliance reporting and monitoring of respective Business B... ...lated report, ensure timely completion of quality control and risk assessment
~Conduct courtesy call or s...