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- Risk and Compliance The Risk & Compliance function is a Second line of defence (LOD) function, responsible for reviewing and challengin... ... the senior accountable executive responsible for ensuring that HSBC's operations in Hang Seng Bank are effective in identifying, ma...
- ...estors. We are seeking a high caliber to join us as Business Compliance Manager. Principal Responsibilities Keep abreast of relev... ... rules, codes, regulations and guidelines set by regulators and HSBC Group (the “Group”) Work with business teams and risk steward...
- HSBC is one of the world's largest banking and financial services organisations. Our global businesses serve more than 40 million cu... ...d the business operates in accordance with Group and regulatory compliance and subject to robust internal controls Create and contribut...
- ... on international expansion and specializing in wealth management. Advise the senior management and relevant business units on compliance related issues Provide support to business units in the development, implementation and regular review of products, policies a...
- To Compliance Officer Job 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 c...
- HSBC is one of the world's largest banking and financial services organisations. Our global businesses serve more than 40 million cu... ...sonal and communicationskills Clear view on how to work with Compliance, Credit and Risk, and Internal Control to ensure a balanced ris...
- My client is looking for senior IBD compliance - up to AD/VP level Preferably candidates coming from bulge bracket firms or even IBD legal experiences would be a plus Fluency in Mandarin is a MUST All applications applied through our system will be delivered dire...
- ... 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...
- My client is looking for senior IBD compliance - up to AD/VP level Preferably candidates coming from bulge bracket firms or even IBD legal experiences would be a plus Fluency in Mandarin is a MUST
- ...A market leading financial institute with strong presence in HK and Asia. Responsibilities: ~ Establish and Maintain Compliance Framework: Create and implement a robust compliance policy and review program for our equities and futures operations, ensuring f...
- 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...
- ... policies and procedures to ensure them complying with the regulatory requirements, formulate and supervise the implementation of compliance review plans, conduct sample transactions checking, particularly relating to insurance and investment activities Advise on new...
- 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...
- ...ion, please visit: Duties: Monitor and assess impact of regulatory developments and prepare relevant documents Ensure compliance risks are timely reported and managed Conduct compliance test, research and training Support the administrations of committ...
- 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...
- Chun Wo was founded in 1968 and listed on the Main Board of the Hong Kong Stock Exchange in 1993. It is a renowned construction company in Hong Kong in building construction, civil engineering, foundations, electrical and mechanical engineering, railway and transport e...
- 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...
- HSBC is one of the world's largest banking and financial services organisations. Our global businesses serve more than 40 million cu... ...commercial thinking and business acumen - able to highlight key compliance and risk issues that could impact business performance Posse...
- ...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 ...
- My client is looking for AML compliance- AD/VP level must be fluent in Mandarin
- ...ILITES 主 要 职 责 Training & Communication Identify and analyze training needs, support line manager to develop and implement compliance related training strategies to ensure optimal delivery focusing on effectiveness, clarity and understandability. Innovatively ...
- Your new company We are actively hiring a Compliance Officer for a foreign asset management firm (SFC 1,4,9). You will be responsible for partnering with the legal teams to oversee the compliance function for the company. Your new role Oversee compliance fun...
- ...owers for regulatory authorities or law enforcement agencies and knowledge of PRC laws would be an advantage; # strong sense of compliance, by ensuring adherence to all relevant legislation and guiding staff to uphold these standards; # strong project management, an...
- ...ws triggered by projects / transaction monitoring; Review account opening documents and related supporting documents to ensure compliance with internal policies and guidelines; Update e-KYC, Anti-Money Laundering (AML) systems and monitor and follow up the overall...
- ... excellent career opportunity is offered to the right candidate to join us. Responsibilities: Responsible for handling with compliance control programs Liaise with regulators and assist in handling enquiries, complaints and licensing works Work with the surv...
- 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, ...
- Job Summary A rapidly expanding and high-performing asset manager group is seeking a Compliance Officer to join our team, adding a new position due to ongoing business growth. We are looking for a Compliance Officer to ensure that our companies adhere to all releva...
- Job responsibilities: # To assist in developing automated monitoring programs (mainly Microsoft Excel based) related to compliance monitoring and evaluate the settings of existing monitoring systems. # To provide practical solutions in the testing and optimi...
- Overview: A Singapore-based company is seeking a highly motivated and experienced Compliance Officer to join its newly established Hong Kong entity, which has recently obtained a Money Service Operator (MSO) license. This role is pivotal in building and maintaining ...
- ...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...