The Sompo Legal & Compliance Department and the Sompo Risk Management Department seek an individual to serve in a hybrid role as Manager, Compliance and Risk Management for its operations in Hong Kong. The individual will be responsible for management and oversight in ...
...ob No.: 499171
Employment Type: Full time
Departments: Hong Kong Branch
Job Functions: Risk Management
Responsibilities:
~Formulate and update compliance risk and KYC policies and procedures in light of the latest regulatory requirements and market pra...
We are partnering with an international law firm to find a highly skilled Risk & Compliance Officer. This position, based in Hong Kong, reports to the APAC Head of Risk & Compliance.
Key Responsibilities:
• Review the scope of work and conflict check details, ...
...to become part of our team and to pursue a bright and exciting future.
Responsibilities
~Be a team member of Corporate Risk & Compliance Department
~Assist supervisor(s) to develop, enhance and implement control measures to rectify issues/ exceptions as identi...
...
This key position will be focusing on SOX Cybersecurity Compliance Regulations and ISO 27001 review. He or she will be coach 2 tea... ...esponsibilities
Advise senior manager & USHQ on governance & risk requirements in Hong Kong
Develop and implement confidential...
Responsibilities:
Conduct risk monitoring, control and compliance risk assessments of money market and capital market dealers activities.
Oversight risk monitoring and control on Southeast Asian institutions.
Work with development team and vendor for digi...
Responsibilities:
Design and prepare various routine monitoring and compliance report for Global Markets operational risks.
Follow up on various operational incidents and conduct independent assessment and analysis on the cases
Write kinds of internal self...
Assistant Retail Risk & Compliance Manager, Retail Risk & Compliance Department (Job ID 4392)
Responsibilities
To be a team member of Retail Risk & Compliance Department
To monitor and control the investment & insurance selling activities of Person...
...ns: Asset Management
Key Responsibilities:
~Assisting the team to prepare/review the company's risk management policies, anti-money laundering policies, compliance policies, procedures and work guidelines, and prepare staff training materials
~Assisting the team...
... and broaden our business, we are actively seeking exceptional compliance assistant to join our dynamic and driven team.
Responsib... ...stry
Ability to analyze complex compliance issues, identify risks and develop practical solutions.
Excellent interpersonal an...
...ther 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 b...
...dity) - Global Leading FinTech Group
2) Equity Derivatives (Risk / Pricing) Application Support - Elite Hedge Fund
3) Java D... ...s within the regional Information Technology Division, ensuring compliance with regulations, policies, and industry standards. This role i...
... the regulators;
Handle on-going SFC reporting matters
Assist to update internal policies and procedures to ensure relevant compliance standards are complied with
Ensure company policies, internal control procedures & manuals are up-to-date with regulatory requ...
...simply take you in an exciting new direction, HSBC offers opportunities, support and rewards that will take you further.
Global Risk is a thriving and expert risk management function supporting HSBC globally with all aspects of risk management. The team actively ma...
... not limited to delisting or relisting applications;
Perform compliance control and monitoring programs including but not limited to co... ...
Requirements:
Degree holder in Business Administration, Risk Management, Law or related disciplines.
Possesses knowledge ...
...o join a top UK law firm with a robust international presence, boasting 10+ offices located in major cities worldwide. As the Risk & Compliance Officer (APAC), you will closely collaborate with the team to provide support in a broad spectrum of areas, including conflic...
Role & responsibilities:
Supervise the credit risk and service quality control of the credit approval process.
Review ... ...
At least 8 years’ experience in retail approval and risk compliance requirements
Degree holder in business related disciplines...
...ulture that values openness and expertise to improving employees’ professional skills.
Our corporate culture also emphasizes compliance, risk awareness, integrity, execution and performance.
Our care for employees’ growth is reflected in all activities. The Company ...
...nd authentic self, like at home.
Job Purpose:
In this role, you will be part of the Sanctions Compliance team of AML & Financial Crime Risk Department, acting as a subject matter expert of sanctions, and managing sanctions and screening related projec...
...s & 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 information and transactions
Liaise and collaborate with diffe...
Responsibilities:
Plan, organize, lead and control the activities of Risk & Compliance Section
Ensure that the operations of pension and trust businesses comply with the applicable legislation, rules and guidelines issued by the regulatory authorities
...
A leading international law firm is looking for a risk & compliance manager to oversee their Asia offices. Leading a team of 9 members, you will oversee all risk management and compliance strategies, policies, and procedures to ensure adherence to regulatory requireme...
Job Title
Operational Risk Manager
Job Description
Rabobank’s Regional Head of Operational Risk is responsible for strength... ...levated risks;
• Conduct gap analysis on policy or regulatory compliance gaps
• Champion and enhance consistent awareness of operation...
...y offering a dynamic working environment, good career development opportunities and competitive compensation packages.
Risk and Compliance Division – Regulatory Compliance
The Risk & Compliance function is a Second line of defence (LOD) function, responsible f...
Scope of Responsibilities:
To design and implement compliance programs to address market conduct, meet regulatory requirements and internal policies on sales compliance, conduct risk and personal data privacy
Providing compliance advice to business units to ens...
...ed financial services for Chinese clients involved in overseas investment.
Job Responsibilities
Attend to ongoing compliance requirements under the Companies Ordinance, Securities and Futures Ordinance and relevant subsidiary legislation and codes issued...
...under the supervision of the Hong Kong Monetary Authority.
Responsibilities:
~Assist in reviewing policies and/or conducting compliance control/audit
~Prepare compliance reports for management review
Requirements:
~Degree holder
~Those candidates with so...
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...
...spicious cases for further investigation in accordance with AML compliance requirement
Work closely with operation units and provide co... ...s, manuals and control documents
Conduct compliance reviews, risk assessments and control testing
Requirements
Degree or a...
...nvironmental-friendly requirement
To drive change to enhance the company's ability to proactively identify materials and product risks
To analyze and improve the current workflow to implement and sustain an efficient quality management system
To formulate mate...