Business Function
Group Legal, Compliance & Secretariat ensures that the bank's interests are protected by zealously guarding an... ...al legal or audit / accountancy firm with banking or financial services compliance / regulatory advisory experience
Good exposure o...
...sibilities
Proactively contribute to the enhancement of AML compliance processes and controls
Conduct thorough analysis to identif... ...ones and Trust license compliance affairs.
Review and draft service agreement, policies and procedures as well as marketing materi...
... 492271
Employment Type: Full time
Departments: Legal & Compliance and Operational Risk Management Department
Job Functions: ... ...egal, Risk Management
Responsibilities:
~Provide advisory services to business units (including retail banking, corporate banking...
...nd issue review reports
Conduct Product Due diligence, review legal paper-term & condition, work with product team to build up compliance procedure especially fund management.
To liaise with regulators and other key stakeholders and and review regular compliance c...
China Investment Information Services Ltd.
Established in Hong Kong in 1994, China Investment Information Services Limited (CIIS)... ...es
Act as primary or secondary auditor in market data compliance audits, prepare audit reports and transform massive data into ...
...not limited to delisting or relisting applications;
Perform compliance control and monitoring programs including but not limited to c... ...ompliance experience in financial institutions or professional services firms;
Self-motivated, independent, meticulous, analytical ...
...manufacturer of compounds with applications in the field of leisure/toys and hygiene.
We are looking for an experienced
Compliance Officer
Responsibilities
To control and monitor all aspects of set compliance related rules and processes, such as; materi...
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...
Compliance Manager
Responsibilities:
Act as the MIC, MLRO and complaints officer of the Company for the RA1, 2, 4, 5
Identify and evaluate compliance risks of the operations and business activities of respective business lines
Provide day to day regula...
...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...
...nt.
For other vacancies, please visit our website at
Job No.: 499187
Employment Type: Full time
Departments: Legal & Compliance and Operational Risk Management Department
Job Functions: Legal, Risk Management
Responsibilities
~Assist Team Head to m...
...ge serving global users. BingX offers diversified products and services, including spot, derivatives, copy trading, and asset manageme... ... Our current vacancy | Full-time | Long-term | REMOTE
The Compliance Revenue Specialist is responsible for overseeing the financial...
.... Today, our 15,000 plus employees are undertaking 30 billion USD worth of projects globally.
CHEC is a leading provider of full services in Engineering-Procurement-Construction (EPC), Build-Operate-Transfer (BOT), and Public-Private-Partnership (PPP) for both public ...
...
In relation to any one or more of the Type 1/4, Type 2, Type 1/6 and Type 4/9 licensed activities:-
Advise business on compliance issues in transactions and provide ongoing guidance to the business on compliance requirements.
Advise on compliance issues an...
...ffices in Europe, the U.S. and Asia. Our strategy is to tailor services to each client and seek to add value with our deep understandi... ...port:
~ We offer full training and support in private equity compliance to develop your skills and good prospects
~5 day work week, ...
Responsibilities :
Assist to supervise licensing related works and offer advice on licensing issues
Provide compliance advice to the different business units in relation to securities brokerage and wealth management business
Review and advise on legal and co...
...uding preparing written plans, reports & providing documents to the HQ;
Monitor overall business operation and conduct AML/KYC/Compliance auditing to ensure compliance with internal policies and external regulations;
Advise and review account opening processes;
...
As the Environmental Compliance Officer at midocean you will be part of the compliance team which is responsible for the safeguarding o... ... has large ambitions to reduce CO2 emitted by its products and services. A continuous development of programs to reduce CO2 and waste ...
...aliber to join our Bank
Job Responsibilities:
Assist in handling daily transaction monitoring
Provide support to the Compliance Department
Handle ad-hoc projects as assigned
Job Requirements:
Degree holder, with 1~2 years relevant working experien...
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 ensur...
As the Environmental Compliance Assistant/Officer at midocean you will be part of the compliance team which is responsible for the safe... ... has large ambitions to reduce CO2 emitted by its products and services. A continuous development of programs to reduce CO2 and waste ...
... technologies with the Chinese market, providing diversified financial services for Chinese clients involved in overseas investment.
Job Responsibilities
Attend to ongoing compliance requirements under the Companies Ordinance, Securities and Futures Ord...
Our client, a growing FinTech company, is currently seeking a compliance lead with at least 8 years of financial services compliance experience, including at least 3 years of experience in a decision-making role (i.e. MLRO, Head of Compliance, etc). Financial institut...
... Handle all licensing matters (SFC, IA and MPFA), application, notification, annual return and survey for regulators
Carry out compliance trainings to the business units and provide advice to the management
Draft, review and negotiate agreements and other legal do...
...ent is a multinational fortune 500 company of Business Solutions Supplier, is now looking for an outstanding talent:
Senior Compliance Officer – Japanese Speaking
Responsibilities:
Responsible for company policy and compliance control, including arrangin...
Responsibilities:
Monitor and manage the daily compliance works for the Group’s business activities, ensure to comply with the internal policies and external regulations
Key person in drafting, reviewing, negotiating and advising agreements, legal contracts and ...
Our client, an esteemed Regional Corporate Bank, is looking for an AVP to join their compliance assurance and reports to the Head of Compliance Assurance.
Responsibilities:
~Conduct effective, objective, risk-based compliance monitoring activities pursuant to the...
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 the...
...People's Republic of China and Southeast Asia. As we strive to grow and broaden our business, we are actively seeking exceptional compliance assistant to join our dynamic and driven team.
Responsibilities:
Assist in preparing for and responding to routine revie...
...to legal and regulatory requirements in the jurisdiction(s) where the corporation operates;
Monitor the licensed corporation’s compliance with the established policies and procedures;
Report on compliance matters to senior management;
Review offering documents ...