...498594
Employment Type: Full time
Departments: Legal & Compliance and Operational Risk Management Department
Job Functions: ... ...s to business units regarding regulatory compliance issues on investment or insurance products/ services
~Participate and assist in ...
...ing financial institution across Greater China and also internationally. They have a stable presence in Hong Kong with a sizeable compliance department.
Job Description
This role will work within an experienced team to perform the following duties to ensure the fina...
Responsibilities:
Develop, implement, and maintain compliance policies and procedures for the investment division, in line with applicable laws, regulations, and SFC guidelines.
Monitor and assess the division's compliance with regulatory requirements, in...
...tion are identified and followed
Work closely with other compliance function on projects and other compliance related topics
... ...mum 5 years’ of experience in regulatory compliance gained in investment banks / regulatory authority
Familiar with HKMA and SFC ...
Key Responsibilities
Be accountable for the APAC Markets Compliance program
Provide advice on regulatory interpretation and compliance issues in relation to global markets business
Handle APAC compliance issues, incident, and breaches in conjunction w...
Responsibilities:
Provide guidance and support on compliance matters to ensure adherence to SFC requirements and internal policies.
Develop and implement compliance programs and procedures to mitigate risks and maintain a strong compliance culture within t...
Responsibilities:
Develop and implement a comprehensive compliance program for insurance and investment products offered by the bank.
Stay updated with relevant laws, regulations, and industry practices in the insurance and investment sectors, ensuring co...
...er - Elite Tech Firm (Blockchain)
Our client, a prominent investment bank. Is seeking a highly skilled and experienced regional te... ...within the regional Information Technology Division, ensuring compliance with regulations, policies, and industry standards. This role...
...lities:
Function as the primary client contact and trusted investment advisor for clients, including direct selling, determining su... ...d safeguarding DFZQ group, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Poli...
Key Responsibilities:
Regulatory Compliance: Monitor, interpret, and keep abreast of applicable laws, regulations, and guidelines related to investment and insurance products. Develop and implement compliance policies, procedures, and controls to ensure adheren...
China Investment Information Services Ltd.
Established in Hong Kong in 1994, China Investment Information Services Limited (CIIS)... ...s
Act as primary or secondary auditor in market data compliance audits, prepare audit reports and transform massive data into...
...rtunities and competitive compensation packages.
Community Investments
Hang Seng’s Community Investments function drives and impl... ...ient control environment across the department to ensure full compliance with Group policy and procedures
Requirements
Bachelor’...
... Everbright Group, Everbright is China’s leading cross-border investment and asset management company. It manages private equity funds... ...tment.
Job Responsibilities
Attend to ongoing compliance requirements under the Companies Ordinance, Securities and Fu...
...ith our deep understanding of their businesses in Alternative Investments, mostly in the Private equity and Real Estate sectors. The Fu... ...ort:
~ We offer full training and support in private equity compliance to develop your skills and good prospects
~5 day work week,...
We are hiring an Investment Consultant for iFAST Global Markets (iGM) , a division of iFAST Corporation Ltd., which provides multiple tailored wealth management services. Our team of seasoned advisers and research experts is devoted to meeting our clients' investme...
...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...
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...
...n
The FP&A Manager role will play an important role in our investment division, conducting meticulous market research, financial mo... ...erence to investment criteria.
Work closely with legal and compliance teams to ensure all underwriting processes align with regulat...
... to BVI, Cayman and HK entities within the company’s structure;
Provide legal support to the business team in the course of a) investment projects including pre and post investment management, and b) full cycle investment fund management including fund launch and on-...
...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...
...nt.
For other 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 m...
...amic real estate group focusing on commercial/retail property investments and financial investments. To cope with our expansion, we are... ...
• Ensure Group’s financial procedures and guidelines are in compliance with statutory, legal and regulatory requirements.
Acco...
...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...
... 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...
...e corporation operates;
Monitor the licensed corporation’s compliance with the established policies and procedures;
Report on co... ... marketing materials;
Review AML/KYC documents;
Monitor investment compliance;
Review agreements and offering documents from ...
Job Description
Provide investment advice and develop customized investment strategies for high-net-worth clients.
Make recommendations on asset allocation, investment products, and portfolio construction.
Regular review of client portfolios with investment o...
Our client, a Top-tier PRC investment bank , is now looking for an IBD Compliance to join them.
Responsibilities:
Review, update and revise due diligence procedures for IPO, FA, IFA, M&A, ECM and DCM transactions to ensure compliance with regulatory re...
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...
...uding preparing written plans, reports & providing documents to the HQ;
Monitor overall business operation and conduct AML/KYC/Compliance auditing to ensure compliance with internal policies and external regulations;
Advise and review account opening processes;
...
...a well-known PE fund, and they now have a junior to mid-level compliance role that is suitable for both compliance professionals and q... ...business on a wide range of matters including AML, licensing, investment compliance, and business compliance. Compliance professionals...