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- ...ities: Plan and execute comprehensive compliance reviews across business units to ensure ... ...tailing findings and recommendations for senior management. Provide timely compliance... ...ding Mandarin) Proficient in Microsoft Office Suite (Word, Excel, PowerPoint, Outlook)...
- Responsibilities: Handle compliance work in relation to securities brokerage, ECM and DCM business; Handle Chinese Walls and control room matters including but not limited to maintenance of the Watch List and Restricted List, wall crossing procedures, market soun...
- 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...
- ...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 ...
- ...osition provides you with the opportunity to learn and provide compliance management and support. Job Responsibilities: Handle in... ...oth spoken and written English and Chinese Proficient in MS Office applications and Chinese word processing Candidates with mo...
- 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...
- 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...
- ...ocess and communicate with audit team to follow up outstanding compliance documents; Provide general clerical support to the audit te... ...red; ~ Good command of written English; ~ Proficient in MS Office (Word, Excel, Outlook) and accounting software (e.g., MYOB, Xe...
HKD 50k - HKD 100k per month
As a Business Compliance Officer, you will ensure adherence to regulatory requirements and internal policies within the fintech industry. T... ...accordingly. Preparing reports and presenting findings to senior management. Collaborating with external regulators and st...- ... fund managers, global companies, family offices and private clients operating worldwide.... ... Assisting with providing and amending compliance documentations to support corporate lice... ...ssible corporate events when required by senior management and social events organized b...
- Senior Compliance Manager (Public Sector) We are partnering with a respected public sector organization to help them hire a Senior Compliance Manager for their operations team. This role is pivotal in driving governance and compliance across Trust-funded projects. ...
- ...presentable format for internal dissemination Report to the Compliance team leader Requirements: Diploma or above with major in... ...od analytical skills Good command of written English and MS Office skills Professional accounting / legal firm experience a de...
- ...records Review and draft procedures Provide constructive compliance solution and advice to Types 1,4,6,9 businesses Conduct com... ...se Fostering strong relationships with other front and back office functions to optimize efficiency. General Knowledge of FATC...
- ...ist in structuring and implementing internal control program (i.e. ISAE 3402) for the firms； Compose regular and ad-hoc written compliance / internal control / audit reports to headquarters Compliance, Internal Audits and other departments where necessary； Cater and...
- ...ntrol and financial reports Assist with client account maintenance, UAT testing Review and ensure operational procedures in compliance with all relevant external regulators and in-house policies. Perform ad hoc assignments as required Requirements: At le...
HKD 20k - HKD 30k per month
...ts innovation and excellence in financial management. The Senior Finance Officer role focuses on ensuring financial reporting within the in... ...nd analyzing financial statements and reports. Ensuring compliance with accounting standards, tax regulations, and internal p...HKD 80k - HKD 100k per month
...ur client is an Global Asset Management firm and looking for a Compliance Lead to join their Central Compliance team. The Role ... ...nvestigations, and remediation efforts. Report regularly to senior compliance and business leaders; support internal audit review...- RESPONSIBILITIES Report to Head of Legal & Compliance Provide legal and compliance advice and solution to management and departm... ...d advise management and departments accordingly Handle head office’s enquiry and reporting requirements and prepare ad hoc report...
- ...bjective body that reviews and evaluates compliance issues/concerns within the organization.... ...ut are not limited to) The Compliance Officer reports to the Compliance Manager by mon... ...cs issues and providing guidance for the senior management team on matters relating to c...
- ... Job responsibilities: Formulate and implement the Bank's compliance policies and procedures to ensure the Bank's operations are in... ...-day operation. Liaise with regulatory authorities and head office to ensure the Bank is abreast of and in compliance with the re...
