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- About the Role: We are seeking an experienced Compliance Manager to join our Compliance team in Hong Kong. This is a strategic role that encompasses both regulatory compliance and AML/CFT responsibilities, supporting our business operations across our SFC-licensed ...
- ...applicable U.S. Government export regulations Working knowledge of, and ability to apply laws and regulations related to trade compliance business activities in the Americas; must be proficient working with, and the requirements of, trade authorities globally Main...
- ...th anti-bribery, sanctions, and AML policies. # Maintain records of vendor risk profiles and control deficiencies. # Ad-Hoc Compliance Activities # Support internal audits, regulatory exams, and compliance training initiatives. # Assist in policy updates, risk...
- ...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...
- Compliance & Operations Associate - Top Chinese PE firm 客户简介 Our client is a leading Asia‑focused private investment platform with over two decades of history, a strong institutional shareholder base, and strategies spanning private equity, structured solution...
- ...a high-growth commercial environment. Client Protection Associate Responsibilities What do you want your career to look like... ...eams to ensure their clients are always served to the highest compliance standards while enabling their fast-growing commercial succes...
- ... growing industry. Job Description Summary: The Ares Compliance Department oversees and manages Ares’ global regulatory compl... ...s is seeking a knowledgeable, highly organized, and proactive Associate to join our Control Room Compliance team focused on informati...Remote job
- ...rk collaboratively with business units to identify and assess compliance risks, and develop effective controls to manage these risks. ... ...l Member, Hong Kong Institute of Bankers (HKIB), Hong Kong Associate AML Professional (AAMLP), HKIB, Hong Kong (e.g. CPA, HKSI, II...
- ... Employment Type: Full time Departments : Financial Crime Compliance Department Job Functions: Legal, Project Management, Poli... ...poses only. It might also be disclosed to our subsidiaries or Associated Companies to process the information for appointment. Applica...
- ... We are partnering with an international professional services platform to hire multiple KYC Analysts as part of their expanding Compliance function. This role sits within a sizeable and well‑structured team and is ideal for candidates with hands‑on KYC experience who ...
- ...ropriate escalation and documentation. Assist in preparing compliance/ STR reports. Support the team lead in preparing materials... ... are vacancies in any of our subsidiaries, holding companies, associated or affiliated companies of, or companies controlled by, or un...
- ...r recruitment-related purposes only. All applications will be kept for a maximum period of one year as may be considered for future or other suitable positions within Public Finance Limited and its associated companies. For details, please visit the Company’s website
- 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...
- ...rn and continuously enhance the KLN Global HSSE governance framework, covering Occupational Health and Safety (HS), ISO Standards Compliance (S), and Environmental Sustainability (E), to ensure consistent implementation across all regions and business segments with grow...
- A well-established international asset management firm which is one of the major institutional investors in the global financial markets and one of the biggest funds by AUM in Hong Kong. We invest in a wide range of products with an international dimension. We are now ...
- Role Objective To provide effective compliance oversight and practical regulatory advice to support the Company’s regulated activities, manage compliance risks, and ensure adherence to applicable laws, regulations, and governance standards. Job Duties ...
- ...ent training sessions. Assist with regulatory matters, including licence applications and regulatory notifications. Conduct compliance health checks and periodic monitoring reviews.Handle routine and ad‑hoc regulatory queries from clients. Prepare for and coord...
- Responsibilities: Develop and implement compliance policy and review program covering our equities and futures businesses with particular emphasis on the compliance with the relevant rules and regulations in Hong Kong; Provide compliance guidance, conduct traini...
- Degree holder with exp in BO/ Trading/ Mfy Handle social compliance, fty audit, some environmental Gd Eng, Mandarin, post need travelling
- Our Risk and Compliance Department is looking for a high-caliber candidate to join Responsibilities Coordinate different departments to facilitate health check, internal review and assessment on compliance issues to meet internal and regulatory requirements ...
- About our client: Top EAM firm in Hong Kong. Job responsibilities: - Develop, implement, and monitor compliance policies and procedures to ensure adherence to applicable laws, regulations, and industry standards. - Conduct regular compliance risk assessments ...
- ...ype 9 (Asset management) issued by the Hong Kong Securities Futures Commission. Responsibilities: To assist in formulating compliance-related rules, operational procedures, and business processes, and to participate in establishing the compliance management frame...
- ...for a high caliber professional to join our team as Citigold Associate (Internal Job Title: Consumer Sales Support Analyst - C09) ba... ...nd safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Poli...
- 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 ...
- ...ics and analysis of portfolio data and handle ad-hoc assignments to support the decision-making processes and ensure adherence to compliance requirements; Maintain effective communication with custodians and collaborate with colleagues from front, middle and back off...
- ...eeking a high calibre professional to join our team as a CLM Associate. The CLM team sits in the first line of defense and eva... ...ll need: ~Ideally some working knowledge of AML, regulatory compliance within the banking and financial services industry. ~ Stron...
- ...ensing issues as well as maintain registration/licence with regulatory bodies in mainland China and overseas Carry out routine compliance duties such as CPT, staff dealing, gifts and entertainment register, periodic declarations, etc. to ensure compliance with releva...
- ...h calibre professional to join our team as a Wealth Planning Associate. In this role you will Be part of the Wealth Plannin... ...key business strategies and revenue growth from marketing and compliance perspectives To be successful you will need Experienc...
- ...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...
- ...o ensure trades and corporation action settled in a timely manner. Handle F.O enquires. Ensure all settlement procedures in compliance with local market conventions. Monitor regulatory changes related to settlement and comply with local market conventions and d...