...ted services through its growing network of over 70 branches in Hong Kong, Macau and... ...;
~Be able to align with other banking compliance team’s staff within the division if ther... ... monthly compliance meetings with senior management in the division;
~Organize and lead th...
Join Bank of China (Hong Kong)
Be a dynamic member of our team
W... ... time
Departments: Investment Management
Job Functions: Risk Management, Compliance / Operational Risk Management
... ...ties:
~Conduct risk monitoring, control and compliance risk assessments o...
Join Bank of China (Hong Kong)
Be a dynamic member of our team
We commit t... ...b Functions: Strategic Planning, Risk Management, Compliance
Responsibilities:
~Design and pre... ...erent gap analysis reports on internal control and compliance mechanism
~Formulate ...
Citi Hong Kong
With over 100 years of history and currently serving over on... ...oducts and services, including wealth management and investment, protection, credit ca... ...to join our team as V ice President, Compliance Business Control Senior Manager - Hybrid (Internal Job...
...cloud in the top right corner of the page and sign up for job ... ...Senior Director, Distribution Compliance with the resources to enhanc... ...tion and effectiveness of the Control Monitoring Framework for all ... ...ith Company’s Regulatory Risk Management Program and Risk Governance f...
Key Responsibilities
Provide Control Room advisory to Private Side businesses... ...ty Research Department
Assess and manage potential conflicts of interest and information barriers
... ...rocess and coordinate with Business, Compliance and External Counsel in regard to pr...
...nction:
Group Legal, Compliance & Secretariat ensures that the ba... ...ause we believe that at the heart of business banking is to uphold the... ...vide recommendations to DCO/BU/SU Management for enhanced measures on internal control
Act as the primary contact poi...
Responsibilities:
Monitor and manage the daily compliance works for the Group’s business activities, ensure to comply with the internal polici... ...mpliance checks such as Independent Check during the course of daily business operation
Provide compliance guidelines t...
...g or relisting applications;
~Perform compliance control and monitoring programs including but n... ...VIL deposit and withdrawal applications of the business units and perform the chec... ...holder in Business Administration, Risk Management, Law or related disciplines.
~Possess...
Job Requirements:
Manage daily group-wide trade surveillance process, handle esca... ...us Transaction Reports.
Keep updated compliance obligations and regulatory obligations ... ...
Contribute to design and development of controls to enhance surveillance overage for mar...
Responsibilities
To lead a team of product quality engineers and IQC team to ca... ...plement and sustain an efficient quality management system
To formulate materials and pro... ...products including manufacturing process control
~ Good interpersonal skills, strong le...
Responsibilities:
Provide guidance and support on compliance matters to ensure adherence to SFC requirements and internal policie... ...res are up to date.
Assist in the development and delivery of compliance training programs for employees.
Participate in...
...rtment Head for their Legal & Compliance division. Candidates with PQE... ...fting, review and negotiation of contracts, business and legal... ...ch, analyse and advise senior management on updates and trainings requ... ... judgement balancing risk and control
- Proven leadership skills ma...
Join Bank of China (Hong Kong)
Be a dynamic member of our team
We commit to excellence and professionalism
... ...
Employment Type: Full time
Departments: Legal & Compliance and Operational Risk Management Department
Job Functions: Legal, Risk Management
...
Join Bank of China (Hong Kong)
Be a dynamic member of our team
We commit to excellence and professionalism
... ...
Employment Type: Full time
Departments: Legal & Compliance and Operational Risk Management Department
Job Functions: Legal, Risk Management
...
Join Bank of China (Hong Kong)
Be a dynamic member of our ... ...
Departments: BOCHK Asset Management Ltd
Job Functions: Asset ... ...ti-money laundering policies, compliance policies, procedures and work... ...ns, identifying weak links in control, and proposing and implementi...
...ore than 35,000 staff over the world. They are hiring an Assistant Compliance Manager. This role will coordinate closely with the different Function stakeholders and CEO to ensure compliance of controls and procedures.
Responsibilities
Review process and co...
Our client is a well-established asset manager, headquartered in Asia. It is now looking... ...mmercial acumen to head up its legal and compliance functions. Suitable candidates should ha... ...lation to the distribution and marketing of financial products. This is a unique opp...
...lished in Hong Kong in 1997. As a member of China Everbright Group, Everbright is Ch... ...eading cross-border investment and asset management company. It manages private equity funds... ...ponsibilities
Attend to ongoing compliance requirements under the Companies Ordinan...
Founded in 1908, Bank of Communications Co., Ltd. (Stock Code: 3328) is one of the oldest banks in China, and a... ... on international expansion and specializing in wealth management.
Assist Head of Legal & Compliance to oversee and monitor the compliance function of the ...
MNC Life Insurance business - Compliance Manager
Job Responsibilities :
Provide advice and review on comp... ...pliance policies and procedures, and keep track of regulatory requirements
Establish compliance controls and perform KYC/ CDD/ AML review and monitoring...
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 acr...
A foreign leading top securities firm is keen to look for Head of Compliance to support their business expansion
Job Description:
~Will be working along with head of legal
~Needs to have strong global markets (sales and trading) SFC compliance leadership experie...
...ority.
Job Responsibilities
# As part of the first line of defence control function of IT Department and support IT management to manage Technology and IT Operational Ri... ... experience in technology risk, regulatory compliance, or similar risk & control function from t...
...ponsibilities
Responsible for the effectiveness of legal & compliance function
Develop and implement policy and procedure to ... ...ry requirements
Provide legal and regulatory advices to management and business units on current and new business initiatives...
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 th...
...s;
Monitor the licensed corporation’s compliance with the established policies and proced... ...
Report on compliance matters to senior management;
Review offering documents and market... ...d trustee.
Requirements:
~5 years’ of relevant compliance experience gained at...
...
Founded in 1999 by a group of high caliber professionals, F... ...s of corporate finance, asset management, credit financing, mortgage r... ...ting to Associate Director of Compliance Department, you are responsib... ...rnal policies, procedures and control manuals for the Group;
~Per...
...; “FTLife”) is a wholly-owned subsidiary of NW Holdings Limited (Hong Kong Stock Cod... ...nd lifelong protection, embracing wealth management and succession, health and well-being, a... ...
Assist and provide support to Head of Compliance and Associate Director of Compliance Dep...
...can achieve more
The Bank of East Asia, Limited ("BEA") is... ...am member of Corporate Risk & Compliance Department
~Assist supervis... ...evelop, enhance and implement control measures to rectify issues/ e... ... issues/exceptions
~Compile management reports on compliance related...