Responsibilities :
Provide compliance advice to business units and associated parties, including comments on new business initiative and marketing campaigns.
Formulate and implement policies and procedures to ensure compliance with the regulations.
Monitor an...
Futu Securities International (Hong Kong) Limited
Hong Kong
20 hours ago
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...
Vantage Capital Markets HK Limited
Hong Kong
14 days ago
...ns or consultation papers issued by regulatory bodies, and make recommendations to comply with regulatory requirements
~Prepare compliance reports for management review
Requirements:
~Degree holder
~Minimum 3 years relevant experience
~Good knowledge in reg...
Public Finance Limited
Hong Kong
16 days ago
...’ professional skills.
Our corporate culture also emphasizes compliance, risk awareness, integrity, execution and performance.
Our c... ...andidate with less experience will be considered as Compliance Officer
Interested parties please send your application letter and f...
Taikang Asset Management (Hong Kong) Co. Ltd.
Hong Kong
7 days ago
...facturer of compounds with applications in the field of leisure/toys and hygiene.
We are looking for an experienced
Compliance Officer
Responsibilities
To control and monitor all aspects of set compliance related rules and processes, such as; materials,...
JOKER (FAR EAST) LTD.
Hong Kong
18 days ago
...is a multinational fortune 500 company of Business Solutions Supplier, is now looking for an outstanding talent:
Senior Compliance Officer – Japanese Speaking
Responsibilities:
Responsible for company policy and compliance control, including arranging an...
Besway Asia Limited
Hong Kong
12 days ago
Responsibilities:
Act as the MIC, MLRO and complaints officer of the Company for the RA1, 2, 4, 5
Cooperate with and advise o... ... HQ;
Monitor overall business operation and conduct AML/KYC/Compliance auditing to ensure compliance with internal policies and exter...
Xin Yongan International Financial Holdings Limited
Hong Kong
21 days ago
We are partnering with an international law firm to find a highly skilled Risk & Compliance Officer. This position, based in Hong Kong, reports to the APAC Head of Risk & Compliance.
Key Responsibilities:
• Review the scope of work and conflict check details, s...
Aquis Search Limited
Hong Kong
20 hours ago
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...
Mid Ocean Hong Kong Ltd
Hong Kong
15 days ago
Job Description
A competent and capable Compliance Officer is required for TNG (Asia) Limited. Reporting into the Chief Compliance Officer, your main responsibilities include:-
# Review and process customer KYC and transaction information;
# Suspicious transacti...
TNG (Asia) Limited
Hong Kong
20 hours ago
崗位職責：
1、負責SFC第1，2，4，5，9類持牌業務合規工作；
2、監管政策跟蹤、梳理，出具合規提示、合規報告等文案；
3、處理所有開戶、盡職審查及反洗錢相關事宜；
4、牌照管理，處理公司和員工的牌照申請、變動和註銷；
5、依據合規手冊，進行合規監控及檢查；
6、負責公司各類合同、制度的起草和審閱工作；
7、負責定期更新內部政策、指引和工作流程；
8、其他合規管理及內審工作。
崗位要求：
1、本科及以上法律相關專業學歷
1、至少1年及以上香港金融相關法律合規工作經驗，熟悉SFC、IA、TCSP...
浙商國際金融控股有限公司
Hong Kong
7 days ago
... a member of our successful team. If you are looking for a career, not just a job, here is a good opportunity for you.
Perform Compliance checking, monitoring and review
Assist in formulating and maintaining Compliance policies and procedures
Ensure the Bank’s ...
Public Bank (Hong Kong) Limited
Hong Kong
6 days ago
...s an independent and objective body that reviews and evaluates compliance issues/concerns within the organization. The position ensures ... ...SIBILITIES (include, but are not limited to)
The Compliance Officer reports to the Compliance Manager by monitoring and reporting ...
The Core Securities Company Limited
Hong Kong
5 days ago
Job scope
Report to Group CEO and BOD ,lead a sizable team across their Asia ,Europe and America
Monitor the daily compliance& risk works for the Group's business activities
Develop and implement policy and procedure to meet the internal compliance requ...
Links International
Hong Kong
26 days ago
... 492271
Employment Type: Full time
Departments: Legal & Compliance and Operational Risk Management Department
Job Functions: ... ... Chinese (including Mandarin)
~Proficiency in using Microsoft office
We offer competitive remuneration package and comprehensiv...
Bank of China (Hong Kong) Limited
Hong Kong
8 days ago
... 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 are up-to-date with regulatory requ...
Ping An of China Securities (Hong Kong) Co Ltd
Hong Kong
3 days ago
...stment.
Job Responsibilities
Attend to ongoing compliance requirements under the Companies Ordinance, Securities and Fut... ...d Chinese (including fluency of Mandarin);
Proficient in MS Office, including Word & Excel and Chinese word processing is require...
China Everbright Limited
Hong Kong
13 days ago
Role and Responsibilities:
Assist and support the Compliance team in handling core compliance, regulatory, legal, monitoring and su... ...d Chinese (including Putonghua)
~ Proficient in the use of MS office suite
This job description is intended to explain the gen...
China Renaissance Securities (Hong Kong) Limited
Hong Kong
6 days ago
...sibilities
Proactively contribute to the enhancement of AML compliance processes and controls
Conduct thorough analysis to identif... ...aintain and renew the Group‘s licenses and act as a compliance officer to make sure the Group complies with the laws and rules
Coo...
Doo Technology Limited
Hong Kong
14 days ago
Bloomberg's Legal & Compliance Department plays a critical role in supporting our businesses and operations around the world. We move q... ...e Practices team.
What's The Role?
As a Compliance Officer on our Compliance Practices team, you will work with Complianc...
Bloomberg
Hong Kong
17 days ago
A new headcount for back office support and this role will directly report to Head of Finance and Accounting Department. In this ro... ...and assist in company activities
Ensure the organization in compliance with applicable laws and regulations
Perform ad hoc duties ...
Creative Design Ltd
Hong Kong
11 days ago
...People'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 revie...
Kwan Tat Industrial Limited
Hong Kong
11 days ago
The Sompo Legal & Compliance Department and the Sompo Risk Management Department seek an individual to serve in a hybrid role as Manager, Compliance and Risk Management for its operations in Hong Kong. The individual will be responsible for management and oversight in ...
Sompo Insurance (Hong Kong) Company Limited
Hong Kong
3 days ago
...tive. At iFAST Hong Kong, we give our employees sufficient opportunities to shine and excel in their areas of work.
Title: Compliance Trainee (6 months renewable contract)
**Preferred Availability: Available to work full-time during summer and a minimum of 2 ...
iFAST Financial (HK) Limited
Hong Kong
20 hours ago
...picious cases for further investigation in accordance with AML compliance requirement
Work closely with operation units and provide c... ...ulatory inspections on AML related matters
Liaise with head office, regulators and law enforcement agencies on all AML related is...
Agricultural Bank Of China (HK Branch)
Hong Kong
11 days ago
...ommand of both written and spoken English and Chinese, fluent Mandarin is also required
~ Frequent travel Able to work in both HK office and Mainland China factory
We offer an attractive remuneration package including 5-day work, flexible work hours and other ...
VTech Corporate Services Limited
Hong Kong
14 days ago
...
In relation to any one or more of the Type 1/4, Type 2, Type 1/6 and Type 4/9 licensed activities:-
Advise business on compliance issues in transactions and provide ongoing guidance to the business on compliance requirements.
Advise on compliance issues an...
CMBC Capital Holdings Limited
Hong Kong
20 days ago
Responsibilities:
Handle SFC licensing matters including but not limited to delisting or relisting applications;
Perform compliance control and monitoring programs including but not limited to control room, AML checking, and trade surveillance;
Handle the thi...
Valuable Capital Limited
Hong Kong
15 days ago
Our client is a well-known PE fund, and they now have a junior to mid-level compliance role that is suitable for both compliance professionals and qualified lawyers. As part of a regional compliance team, you will advise the business on a wide range of matters includin...
Key Responsibilities:
Develop and review compliance program and perform internal investigation
Develop, update and review ... ... and regulations
~ Good knowledge in AML/KYC and back/middle office operation is preferential
~ Fluent in English and Chinese (P...
TeamPlus Consulting Limited
Hong Kong
4 days ago