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- ...ndividuals to join us. Responsibilities: Handle General Compliance related matters Handle enquiries, inspections, audits from... ...ndidate with less experience will be considered as Compliance Associate ~ Fresh graduate is also welcome ~ Immediate available is...
- Key Responsibilities • Monitor and ensure compliance with regulations related to authorized funds, including ETFs and VA funds. • Conduct regular compliance reviews and audits of asset management operations. • Assist in the development and implementation of com...
- Job Summary: We are seeking an experienced and proactive compliance professional to join the Legal & Compliance team as an Associate Director supporting the Investment Banking Division (IBD). This role is pivotal in ensuring regulatory compliance across corporate ...
- ...mission Job Description Assist the HK Head of Risk & Compliance in managing the institution’s compliance governance and assur... ...ks. Candidates with less experience may be considered for the Associate role. Previous experience managing compliance and audit pr...
- Roles and Responsibilities: Design and maintain the efficiency of the existing regulatory compliance framework, including regular tracking and reporting of regulatory developments Implement risk-based compliance monitoring programs to identify control deficienc...
- ...Description Are you passionate about driving excellence in compliance and client engagement, with a focus on Environmental, Social,... ...lity? If so, this is the perfect opportunity for you! As an Associate within our Investment Compliance team, you'll play a pivotal ...
- ...t Hybrid Working Model/ Work Life Balance Established Career Growth And Development We are seeking a strong Compliance Assessment Associate to join our client, a leading High-Tech company in the APAC region. In this role, you will be responsible for managing...
- Our client, a leading investment bank with an expanding business, is looking for a compliance officer with prior experience in research compliance and control room to join the team. Responsibilities Review research prior to publication and manage interactions b...
- ...unts and recommend appropriate remediation actions. Identify training needs and systemic weaknesses in procedures to enhance compliance efforts. Stay updated on AML regulations, policies, and industry trends to inform compliance practices. Communicate fin...
- Entry-Level Research Compliance Associate Location: Hong Kong | Start Date: Immediate / July / September 2025 Experience Level: Recent Graduate / 01 Year Experience About the Role Join the Research Compliance team at a fast-growing g...
- ...Summary: We are seeking a highly motivated and detail-oriented professional to join our Legal & Compliance team as a Research Compliance and Control Room Associate. This role is critical in maintaining the integrity of the bank's information barriers, managing con...
- ...y agencies) from new clients (including the processing of the associated staff, directors, MICs, Responsible Officers and substantial ... ... Director, Licensing Assisting with providing and amending compliance documentations to support corporate licensing applications ...
- ...nd security domains. Roles and Responsibilities: Infrastructure Governance Control: Define, implement the infrastructure compliance policies in the infrastructure environment and to maintain the IT Infrastructure aligns with the regulatory framework and the com...
- .... Responsibilities Handle SFC licensing application and CPT records Review and draft procedures Provide constructive compliance solution and advice to Types 1,4,6,9 businesses Conduct compliance review including staff’s personal account dealing on regula...
- Key Responsibilities Develop and maintain sophisticated quantitative models for market risk assessment, including, but not limited to, Value-at-Risk, tracking error, stress testing, and scenario analysis across various asset classes, such as equities, fixed income, ...
- The incumbent will be responsible for carrying out various internal audit and compliance functions as well as ad hoc assignments. Responsibilities Assist in developing audit plans and tailor-made audit programs for different lines of business and monitor a dynami...
- ...t-growing, founder-led company. The Role The Research Compliance team is a dynamic, external and internal-facing function whic... ...rowing business segments globally. As the Research Compliance Associate you will report into the Research Compliance Manager and work...
- ...sanctions screening and monitoring; country/industry risk; and bespoke inquiries. As an Associate, you will support the overall research and due diligence within our Compliance Practice, by gathering information to help Kroll’s clients onboard and manage the risks as...
- Group Legal, Compliance & Secretariat ensures that the bank's interests are protected by zealously guarding and enhancing its reputation and capital. We also work to maintain a good standing with all our regulators, customers, and business partners. Because we believe ...
- ...e complex risk landscapes and fortify technology governance, making a pivotal impact in our firm’s robust risk strategy. As a Compliance and Operations Risk Test Lead in the Testing Center of Excellence, you will play a pivotal role in enhancing our compliance and ...
