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- ...ealthier, Longer, Better Lives. If you believe in better, we’d love to hear from you. About the Role Support the Head of Compliance, AIAHK and partner with other Compliance functional leads to ensure AIAHK & Macau operates in accordance with the Group Policies ...
- 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 ...
- ...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...
- Job Description Join JPMorgan Regional Compliance Surveillance team to uncover market misconduct risks by investigating trading su... ...high-impact compliance program across asset classes. As an Associate with Regional Compliance Surveillance team, you will report t...
- ...lified and enthusiastic candidate for the following position: GENERAL SUMMARY The Senior Associate / Associate is responsible to provide support to both compliance function and risk management function of the Hong Kong Branch. ESSENTIAL FUNCTIONS Essentia...
- ...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...
- ...te equity, structured solutions, and alternative investments. The firm is known for its disciplined investment governance, robust compliance culture, and long-term partnership approach with portfolio companies. With a growing presence across key Asian financial hubs, th...
- ...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...
- We are currently hiring a Surveillance Analyst on a 1-year contract with LGT Bank, supporting the bank's compliance and market surveillance function. Your new role Conduct market and/or transaction surveillance to identify potential market abuse or suspicious ac...
- ...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...
- ...cription We are seeking a dynamic and experienced Senior Compliance Manager with a strong background in offshore compliance, trus... ...tee oversight structures, trust administration protocols, and associated controls # Enhance and reinforce frameworks addressing co...
- ... 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
- ...in today's environment. The practice focuses on key risk areas relating to strategic level, operational, financial and regulatory compliance. KPMG's Consulting Services has grown substantially since its establishment. Our Governance Risk Advisory Services practice pr...
- ...markets through real-time trade monitoring and enforcing rule compliance of HKEX Participants. It also cooperates with Hong Kong and M... ...tion events, including seminars and roundtables with industry associations, and publication of compliance bulletin Prepare presenta...
- 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 ...
- ... onboarding and periodic reviews. Analyze KYC information to identify potential risks associated with customers and recommend appropriate actions. Collaborate with compliance and risk management teams to ensure all KYC processes align with local and international...
- To Compliance ManagerJob 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 co...
- 工作职责 Job Responsibilities 1. Handle compliance inquiries and reporting matters related to SFC Type 1, 7, 9 licenses, with a primary focus on Type 1 licensed activities. 2. Work closely with the Responsible Officer (RO) to provide compliance support and guidanc...
- ...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...
- Compliance Officer Responsibilities: Develop and implement training programs related to compliance for staff members. Perform gap analyses on current policies and procedures to address regulatory changes and audit findings. Prepare reports on KYC activitie...
- Exp in mfy/ Trading/ Buying office for apparel/ hardgoodsHK base, need travelling to China/ offshore
- ...ndle matters relating to Chinese Wall such as update of watch list and restricted list, and wall-crossing; Assist in preparing compliance training to promote compliance culture; Assist to disseminate latest regulatory requirements to relevant business and support ...
- 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 ...
- Requirement： •University degree in business, law, finance or related disciplines; •At least 1-2 years of compliance experience in licensed corporations is definitely an advantage; •Well versed with SFC regulations and standards, as well as other regulatory require...
- ...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...
- Responsibilities: Conduct AML controls by performing customer due diligence, transactions monitoring/review, name screening, etc Provide AML/CFT training to relevant staff Provide advice and guidance to the business & support functions with respect to AML/CFT ...
- ... 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 ...
- ...: ~ 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...
- ...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...
- RESPONSIBILITIES Report to Legal & Compliance Manager and Head of Legal & Compliance Provide compliance advice and solution to management and departments Develop, draft and review a broad range of business contracts, agreements, announcement, notice, correspo...