Responsibilities:
~ Oversee the general compliance
~ Ensure daily operations comply with Hong Kong SFC and/or other regulatory ... ...ors, e.g. the SFC and HKEx, and listing companies
Conducting AML/KYC checking and other necessary investigations
Formulate, r...
...
Responsibilities:
~Act as first line of defense to conduct AML and investment/banking related transaction monitoring and busin... ... adherence to internal/external requirements, identify possible compliance/operational risks/breaches, prepare management report(s) and pr...
Established and growing crypto platform is seeking a compliance professional to be responsible for a broad range of AML and compliance responsibilities. You will work closely with compliance colleagues globally as well as the team Head. This person will eventually take...
Job Responsibilities:
Provide compliance advice and review AML/CTF issues
Coordinate and liaise with relevant departments to resolve day-to-day compliance issues in relation to AML/CTF
Coordinate and liaise with relevant departments on the sanctions a...
...ng system and FCC related regtech application;
- Key coordinator with different IT units and system vendors for Financial Crime Compliance;
- Coordinate with stakeholders and follow up on FCC related system issues; and
- Handle system/data related ad-hoc tasks as ...
...nal expansion and specializing in wealth management.
Provide AML advisory to business stakeholders in daily operations (e.g. AML... ...tions related issues to ensure that the Bank’s operation are in compliance with statutory, regulatory and internal requirements
Investi...
...nally. They have a stable presence in Hong Kong with a sizeable compliance department.
Job Description
This role will work within an e... ...y steps within the screening process;
~Investigating potential AML related risks;
~Reviewing AML alerts;
~Assisting with providi...
...27/F, Bonham Circus, 40 Bonham Strand, Sheung Wan, Hong Kong
Tel: 2111 3316
Fax: 3007 1947
Deputy CS Manager - Corporate (Compliance / AML ) - HK$28-30k
JD:
Assist Line Manager / Partners to prepare AML CDD cases
Completing the CDD data entry and handli...
Business Function
Group Legal, Compliance & Secretariat ensures that the bank's interests are protected by zealously guarding and ... ...olders.
Job Responsibilities
Evaluate and advise on AML and sanctions risks arising from the customers, transactions, p...
Responsibilities:
Assist in updating AML related policies and procedures in accordance with regulatory requirements
Support... ...duate will also be considered. Candidates with AML/CFT, Audit, Compliance, or relevant experience will be an advantage.
~ Knowledge of ...
... Responsibilities
Reporting to Governance & Controls Head of Institutional Banking Group, to ensure staff are in full compliance with internal AML risk and compliance policies/ standards, external regulations, and industry’s best practices.
~Liaising with FCSS an...
Responsibilities:
Develop, implement, and maintain the AML compliance program, policies, and procedures in accordance with global AML regulations and industry best practices.
Provide AML advisory support and guidance to the organization, including senior m...
Main Responsibilities:
Formulate AML policies and procedures and to make recommendations to business units and management team... ...s and issues;
Maintain and update the country AML Policy and Compliance Manual to ensure that these are in line with the statutory requ...
VP/ Associate Director, AML Compliance – Equities/ Securities
Team Lead, Trade Surveillance & AML Monitoring
Location: Hong Kong
Main Duties and Responsibilities:
# Covering and manging the team for AML/CTF, Trade Surveillance/ Monitoring and F...
We seek a highly motivated Compliance Officer to assist us in a dynamic financial markets environment ( Based in London, we are a global,... ...l organization.
Key responsibilities:
Conducting KYC and AML due diligence & periodic reviews on financial institution clien...
Financial Crime Compliance Section consists of the AML & Sanction Advisory Team and KYC Support Team. To prepare and review AML/CFT MIS reports, provide advisory and training to colleagues.
Responsibilities:
~Investigate and analyse suspicious transactions, custo...
... at
Job No.: 499178
Employment Type: Full time
Departments: Financial Crime Compliance Department
Job Functions: Legal
Responsibilities:
~Formulate and update AML/CTF policies and procedures in light of the latest regulatory requirements and market ...
...s’ professional skills.
Our corporate culture also emphasizes compliance, risk awareness, integrity, execution and performance.
Our ca... ... in accordance with internal policies and procedures
~Conduct AML/KYC assessment, assist in daily AML monitoring and perform annu...
...sing matters including but not limited to delisting or relisting applications;
Perform compliance control and monitoring programs including but not limited to control room, AML checking, and trade surveillance;
Handle the third-party and VIL deposit and withdrawa...
...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 to deal with daily operation...
...anager with presence in Asia. They are now looking for a junior compliance specialist to join their established legal and compliance team.... ...ce with SFC types 1,4, and 9 licenses. The ability to deal with AML compliance matters is also essential. Chinese language skills a...
...including 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...
Role and Responsibilities:
Assist and support the Compliance team in handling core compliance, regulatory, legal, monitoring and surv... ...dling Anti-Money Laundering and Counter Financing of Terrorism (AML) tasks such as name screening, customer due diligence (KYC) and...
... your true and 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 rel...
...rt the business strategies, goals and initiatives.
Roles & 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 informa...
...g related works and offer advice on licensing issues
Provide compliance advice to the different business units in relation to securitie... ...any experience is an advantage
Professional qualification on AML or compliance is an advantage
Sound knowledge in rules and r...
...
Employment Type: Full time
Departments: Financial Crime Compliance Department
Job Functions: Compliance
Responsibilities:
... ...ous transaction reports to the authorities concerned
~Perform AML risk review / assessments
~Establish and review the Bank's AM...
...11 3766
Fax: 3007 1947
Job duties
Perform client onboarding process in accordance with relevant compliance and regulatory requirements
Deliver high quality AML/KYC services and support to Front Office and clients
Checking client onboarding and maintaining do...
...ansactions, capital raising activities, as well as IPO, ECM, DCM and M&A deals. Candidates should also have experience in conflict of interest, AML, control room and research compliance. Prior experience handling regulators inspection and enquiries preferred. WS10261
AML Compliance Manager (AML Investigation & Fraud Section) - Financial Crime Compliance Department (Job ID 4136)
Position Summary
Assisting in handling the AML/CFT ongoing monitoring compliance function for the Bank including investigation and analysis o...