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- Our client, a Global Asset Management firm, is seeking an experienced and self-driven Compliance Professional to join their Hong Kong team. This key regulatory role offers the opportunity to work closely with the Head of Compliance and serve as a direct liaison with th...
- ...Location: Hong Kong Position Overview The Legal and Compliance Manager needs to lead cross-border legal structuring, compliance s... ...with U.S. Export Administration Regulations (EAR) and other regulatory requirements; Manage end-to-end legal processes for cros...
- Responsibilities : Review and enforce compliance programs in accordance with the policies and guidelines of the bank and regulatory bodies; Handle enquiries from regulators such as HKMA/SFC/DPB and coordinate onsite/offsite/ad -hoc surveys; Conduct regular an...
- ...urance products from service providers, manage the product due diligence and onboardin... ...to join our team as Securities Business Compliance Manager. Principle Responsibilities ... ...group standard To monitor the latest regulatory development as well as the Group standa...
- ...ed Private Banking group is looking for compliance professional. University graduates p... ...ience from securities/ investment/asset management Proficient in Microsoft Office, part... ... RESPONSIBILITIES Perform and manage regulatory and general compliance issues, such as ...
- ...hannels. We distribute investment funds managed by top tier fund managers covering diff... ...g a high caliber to join us as Business Compliance Manager. Principal Responsibilities ... ...of relevant group guidelines as well as regulatory requirement and identify their impacts ...
- MISSION he Risk & Compliance Manager plays a critical role in supporting our mission to maintain a resilient and effective risk manage... ... volatility, counterparty exposures, reputational harm, and regulatory breaches. Additionally, they contribute to fostering a s...
- ...etitive compensation packages. Risk & Compliance Our Risk and Compliance function focuses on delivering effective risk management with strong subject matter expertise to ... ...y with businesses, functional units, and regulatory bodies, to embed an effective and compre...
HKD 50k - HKD 80k /月
The Investment & Insurance Compliance Manager is responsible for providing business advisory to their I&I business with a stronger focus ... ...e products. This role will report directly to their Head of Regulatory Compliance. Client Details Our client is a well known...- Compliance Senior Manager / Manager Job Responsibilities: - Handle corporate and individual SFC licensing applications - Arrange compliance trainings and keep track of training records - Review client due diligence (KYC) documents submitted by sales on new...
- ...onsibilities: Support and advise the business on various regulatory compliance matters pertaining to regulatory requirements from the resp... ...lations and compliance frameworks Experience in leading, managing or working with overseas teams Experience in financial s...
- ...SAE 3402) for the firms； Compose regular and ad-hoc written compliance / internal control / audit reports to headquarters Compliance... ...elevant experience in financial institution, preferably asset management company Good interpersonal communication skills Good te...
- ...: Formulate and implement the Bank's compliance policies and procedures to ensure the B... ...s operations are in compliance with the regulatory and group requirements. Lead the com... ... Degree holder or above in law, risk management, accounting, business administration or...
- Key Responsibilities Compliance Role: Conduct compliance monitoring (e.g., trade surveillance especially bond products,... ...rules. Review existing company policy and procedures. Manage regulatory reporting, including filings with the SFC and responses to ...
- Compliance housekeeping matters – Maintain accurate records and documentation relating... ...including PA trading and conflicts Regulatory reporting – Ensure and track compliance... ...n of gap analysis and reports to senior management and regulatory agencies on the Company’...
- ...r handling complaints in both of routine and regulatory issues, to enforce and monitor resolving actions are in compliance with policies and procedures Analyze cust... ...e and quality assurance Excellent project management, organizational and analytic skills Self-...
- ...tlets (including 27 “Elite Club” Wealth Management Centres) in Hong Kong. It is engaged in... ...iptions: Act as the contact point of regulatory and law enforcement bodies Handle re... ...tory enquires & inspections and general compliance matters Provide advisory support to ...
HKD 80k /月
As Vice President of Licensing and Regulatory Affairs within the Compliance Department in Hong Kong, you'll lead strategic licensing initiatives and ... ...establish tracking mechanisms for effective obligation management. Collaborate with compliance advisors and stakehold...- Assistant Legal Manager – Legal and Compliance (Banking) Responsibilities: Instruct and liaise with external counsel on litigation matters and provide accurate and strategic advice to the management and the relevant internal units; Draft, review and negot...
- ...titive compensation packages. Risk and Compliance The Risk & Compliance function is a S... ...usiness to ensure that they effectively manage as "Risk Owners" the risks inherent in ... ...in identifying, managing and mitigating Regulatory Compliance (RC) and Financial Crime Com...
