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- ... ~ Bachelor's degree in Computer Science, Information Security, or a related field ~1-3 years of experience in IT security, compliance, or audit ~ Familiarity with risk assessment methodologies, audit processes, and security frameworks ~ Knowledge of security ...
- Our client, a prominent law firm is looking for an AML Analyst to join their global Risk and Compliance team, which is focused on client due diligence across Asia. Reporting to the AML Risk and Compliance Manager, this full-time role supports the AML processes firmwide...
- ... 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...
- ...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...
- 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...
- 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...
- ... 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...
- 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
- 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...
- ...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...
- 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...
- MISSION he Risk & Compliance Manager plays a critical role in supporting our mission to maintain a resilient and effective risk mana... ...ch as FRM (Financial Risk Manager) or CFA (Chartered Financial Analyst) are a plus. Minimum of 7-10 years of experience in risk ma...
- ... 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...
- Job Summary A rapidly expanding and high-performing asset manager group is seeking a Compliance Officer to join our team, adding a new position due to ongoing business growth. We are looking for a Compliance Officer to ensure that our companies adhere to all releva...
- Job responsibilities: # To assist in developing automated monitoring programs (mainly Microsoft Excel based) related to compliance monitoring and evaluate the settings of existing monitoring systems. # To provide practical solutions in the testing and optimi...
- 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...
- 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...
- ...g investment bank with an expanding business, is looking for a compliance officer with prior experience in research compliance and contr... ...ransactions and address any breaches. Provide training to analysts, update research disclosures, and monitor compliance with guid...
- Chun Wo was founded in 1968 and listed on the Main Board of the Hong Kong Stock Exchange in 1993. It is a renowned construction company in Hong Kong in building construction, civil engineering, foundations, electrical and mechanical engineering, railway and transport e...
