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- This position functions as an independent and objective body that reviews and evaluates compliance issues/concerns within the organization. The position ensures the management and employees are: (i) in compliance with the rules and regulations of regulatory agencies, (...
- ... on international expansion and specializing in wealth management. Advise the senior management and relevant business units on compliance related issues Provide support to business units in the development, implementation and regular review of products, policies a...
- To Compliance Officer Job Description Responsibilities: Carry out all compliance functions to ensure the Company adheres to relevant legal and regulatory requirements; Develop and update compliance policies and procedures; Prepare internal and external c...
- ...iness, Chun Wo has been diversifying its business into property development, property investment, property management and security services in recent years. Construction and development projects of the Group are widely distributed in Hong Kong, Mainland China, Macau, Ta...
- My client is looking for senior IBD compliance - up to AD/VP level Preferably candidates coming from bulge bracket firms or even IBD legal experiences would be a plus Fluency in Mandarin is a MUST
- My client is looking for senior IBD compliance - up to AD/VP level Preferably candidates coming from bulge bracket firms or even IBD legal experiences would be a plus Fluency in Mandarin is a MUST All applications applied through our system will be delivered dire...
- ... recurring client engagements Consolidate the search results in presentable format for internal dissemination Report to the Compliance team leader Requirements: Diploma or above with major in business related studies Minimum one year experience in commerc...
- ...A market leading financial institute with strong presence in HK and Asia. Responsibilities: ~ Establish and Maintain Compliance Framework: Create and implement a robust compliance policy and review program for our equities and futures operations, ensuring f...
- ...Wealth Solutions offers a full spectrum of wealth products and services to our Wealth and Personal Banking customers, from high-net-wo... ...h caliber professional to join our team as Securities Business Compliance Manager. Principle Responsibilities To take leading role...
- ... policies and procedures to ensure them complying with the regulatory requirements, formulate and supervise the implementation of compliance review plans, conduct sample transactions checking, particularly relating to insurance and investment activities Advise on new...
- Responsibilities: Formulate, review and update relevant compliance manual, compliance plan and procedures Implement and update relevant compliance policies and standards in accordance with applicable MPFA, SFC, HKMA, CR and other regulatory requirements Revie...
- ...iew: A Singapore-based company is seeking a highly motivated and experienced Compliance Officer to join its newly established Hong Kong entity, which has recently obtained a Money Service Operator (MSO) license. This role is pivotal in building and maintaining a robu...
- ...is a charitable organization seeking a Manager with a focus on compliance and governance. This role is essential for ensuring effective ... ...lly in a senior capacity Background in NGOs or the social service sector would be a strong advantage Strong command of both...
- Risk and Compliance The Risk & Compliance function is a Second line of defence (LOD) function, responsible for reviewing and challeng... ...liance role under the Insurance Authority. Provide advisory services to Insurance business to ensure clear understanding of complia...
- Responsibilities: ~ Provide prompt, sound and consistent compliance advice, interpretation and recommendation on business and new financial products. ~ Co-ordinate and handle enquires from business departments regarding regulatory compliance requirements and...
- ...ion, please visit: Duties: Monitor and assess impact of regulatory developments and prepare relevant documents Ensure compliance risks are timely reported and managed Conduct compliance test, research and training Support the administrations of committ...
- ... Location: Hong Kong Position Overview The Legal and Compliance Manager needs to lead cross-border legal structuring, complia... ...gapore, Cayman Islands, and BVI laws, with a focus on AI cloud services, export controls (e.g., U.S. EAR), and global sanctions regime...
- 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...
- ...th Solutions offers a full spectrum of investment products and services to our Wealth and Personal Banking customers, from high-net-wo... ...stors. We are seeking a high caliber to join us as Business Compliance Manager. Principal Responsibilities Keep abreast of rele...
- ...ILITES 主 要 职 责 Training & Communication Identify and analyze training needs, support line manager to develop and implement compliance related training strategies to ensure optimal delivery focusing on effectiveness, clarity and understandability. Innovatively ...
- Responsibilities: Plan and execute comprehensive compliance reviews across business units to ensure adherence to policies and regulations (e.g., AML, KYC). Identify control weaknesses, gaps, and potential regulatory risks during reviews. Prepare clear and act...
- Are you a champion of quality and compliance? We're looking for a detail-oriented Quality and Compliance Manager to ensure our products, services, and processes consistently meet the highest standards and all necessary regulations. You'll be crucial in maintaining our...
- ...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 ...
- My client is looking for AML compliance- AD/VP level must be fluent in Mandarin
- Job Description: We are looking for a Compliance Manager to grow our Global compliance team. This is a permanent, full-time... ...arge multi-regional and/or multi-national financial or payment service business or a regulatory agency ~ Minimum of 4 years ...
- ...in wealth management”. Lead and supervise a team to conduct compliance reviews, self-assessments, and ad-hoc projects per compliance ... ...s. Familiar with banking operations, systems, products, and services. Proficient in written and spoken English, Chinese, and Man...
- ...ut Dah Sing Group The Dah Sing Group is a leading financial services group in Hong Kong offering banking, insurance, financial and ... ...re RBD sales and delivery complies with regulatory guidelines, compliance requirements and internal control policies Create, review...
- Your new company We are actively hiring a Compliance Officer for a foreign asset management firm (SFC 1,4,9). You will be responsible for partnering with the legal teams to oversee the compliance function for the company. Your new role Oversee compliance fun...
- ...owers for regulatory authorities or law enforcement agencies and knowledge of PRC laws would be an advantage; # strong sense of compliance, by ensuring adherence to all relevant legislation and guiding staff to uphold these standards; # strong project management, an...
- ...eeking a Consultant / Senior Consultant to join our Regulatory Compliance Advisory team. This role is based in our Cayman Islands office... ...e engagements. Candidates with a background in professional services, regulatory compliance, or related financial services roles ar...