...e'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 reviews/au...
...not limited to delisting or relisting applications;
Perform compliance control and monitoring programs including but not limited to c... ...n the supporting documents and authorization relationships;
Assist in handling investigations and surveys received from regulator...
...ther ad hoc reports as required by the regulators;
Handle on-going SFC reporting matters
Assist to update internal policies and procedures to ensure relevant compliance standards are complied with
Ensure company policies, internal control procedures & manuals ...
As the Environmental Compliance Assistant/Officer at midocean you will be part of the compliance team which is responsible for the safeguarding of the environmental accountability and the European compliance of our products.
Midocean has large ambitions to reduce CO...
...tters, with the ability to issue spot and exercise good legal, compliance and commercial judgment for the Hong Kong business.
Job... ...usiness practices, business initiatives and/or transactions
Assist in drafting and reviewing commercial agreements, forms and oth...
As the Environmental Compliance Officer at midocean you will be part of the compliance team which is responsible for the safeguarding of the environmental and social accountability and the European compliance of our products.
Midocean has large ambitions to reduce C...
...picious cases for further investigation in accordance with AML compliance requirement
Work closely with operation units and provide c... ...n regulatory development and changes on AML related matters
Assist business and operation units to draft and revise policies, pro...
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...
... pre and post investment management, and b) full cycle investment fund management including fund launch and on-going management;
Assist in formulating, review and advice to management on internal policies and procedures;
Handle internal reporting;
Conduct inter...
Our client is looking for high-calibre candidate to join their team as Deputy / Assistant Compliance Manager:
Assist in formulating and maintaining compliance policies and procedures
Perform compliance investigation, checking, monitoring and review
Ensure th...
...gement, off-shore RMB trading, and risk management of the above-mentioned businesses.
Responsibilities:
~Assist the superiors about formulating compliance standards, plans and objectives, streamline compliance processes and draw up compliance staffing and authoriz...
Responsibilities:
# Ensure compliance with internal policies and external regulations for the Group's business activities.
# Assist in preparing compliance reports or relevant data for management reporting.
# Conduct compliance monitoring, including staff deal...
...m
Our team is responsible for the oversight of legal and compliance matters of our Greater China operation consisting of offices i... ...r development to the successful candidate.
Your Role
Assist the General Counsel to implement business strategy, manage the...
... of our team and to pursue a bright and exciting future.
Responsibilities
~Be a team member of Corporate Risk & Compliance Department
~Assist supervisor(s) to develop, enhance and implement control measures to rectify issues/ exceptions as identified by intern...
...adherence to internal/external requirements, identify possible compliance/operational risks/breaches, prepare management report(s) and p... ...rnal reporting to senior management, second line of defense
~Assist to conduct training to promote compliance culture
~Assist to...
Job Highlights
Full set of Internal Audit / Compliance Functions
Internal Audit
Risk assessment, Data analysis and Advisory
Job Description
This is the individual who is responsible for day-to-day internal audit activities to ensure the entire IA fu...
... a job, and an environment where you can be your true and authentic self, like at home.
Job Purpose:
• To assist Group Compliance Division in discharging the duties of ensuring the Bank's compliance with rules, regulations and guidelines issued by regu...
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...
... Accounting, Asset Management, Audit, Legal, Risk Management, Compliance, FinTech
Responsibilities:
~Conduct internal audit engage... ...ches from planning, risk assessment, fieldwork to reporting
~Assist in the organization and management of Compliance/AML-related i...
...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 manage a team to provide compliance advice and support for...
... 492271
Employment Type: Full time
Departments: Legal & Compliance and Operational Risk Management Department
Job Functions: ... ...roducts/ services and business propositions
~Participate and assist in regulatory compliance-related projects, initiatives and sys...
...f our successful team. If you are looking for a career, not just a job, here is a good opportunity for you.
Assist in formulating and maintaining compliance policies and procedures
Perform compliance investigation, checking, monitoring and review
Ensure that th...
...tone of our people every day.
Responsibilities:
Conduct legal and regulatory research to support our team's objectives.
Assist in gathering information, proofreading documents, and consolidating comments.
Prepare suspicious transaction reports in accordan...
...deposit-taking company 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
~...
...’ professional skills.
Our corporate culture also emphasizes compliance, risk awareness, integrity, execution and performance.
Our c... ...nternal policies and procedures
~Conduct AML/KYC assessment, assist in daily AML monitoring and perform annual KYC review of the c...
...ns Provider award (See link below).
About the Role
iCapital is seeking a Compliance Officer to join the Global Regulatory and Compliance Team, based in Hong Kong. This role will assist with a variety of regulatory activities both at the firm level and for investm...
HKD 30k - HKD 45k per month
...in recent years due to its innovative and sustainable strategy. With equally high standard on compliance, we are currently hiring for a top professional to join as an Assistant Compliance Manager.
As part of the leadership team, this incumbent is expected to:
...
An international law firm is looking for a Compliance Assistant. You will be joining a sizable Compliance Department and training will be provided.
About the Role
• Identifying, assessing and addressing, where possible, KYC issues requiring escalation
• R...
Role and Responsibilities:
Assist and support the Compliance team in handling core compliance, regulatory, legal, monitoring and surveillance related matters;
Assist and support the Compliance team in handling Anti-Money Laundering and Counter Financing of Terr...
To
Compliance ManagerJob Description
Responsibilities:
Carry out all compliance functions to ensure the Company adheres to rel... ...and answer enquiries from regulators on compliance matters;
Assist in ad hoc projects.
Requirements:
~ Degree holder in Acco...