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- Job Descriptions ~ Develop and implement compliance policies and procedures to ensure the organization operates ethically and in compliance with applicable Hong Kong laws, regulatory requirements and internal policies. ~ Create an annual compliance promotion plan,...
- ... recurring client engagements Consolidate the search results in presentable format for internal dissemination Report to the Compliance team leader Requirements: Diploma or above with major in business related studies Minimum one year experience in commerc...
- ... Support administrative tasks related to product and vendor compliance, including compliance data collection and analysis. Collab... ...ams as well as customers to ensure product compliance with EU regulatory requirements. Assist with various projects as assigned, de...
- ... laundering name screening, file archive, etc.; Monitor audit process and communicate with audit team to follow up outstanding compliance documents; Provide general clerical support to the audit team to ensure smooth audit flow; and Assist to complete ad-hoc as...
- ... Manage relationships with underwriters, legal advisors, and regulatory bodies. Conduct thorough market research and analysis to i... ...ion, including prospectuses and regulatory filings. Ensure compliance with all relevant securities laws and regulations. Stay up...
- ..., or Back Office, such as Prime Brokerage, Customer Services, Compliance, Corporate Secretarial Services, which will be assigned based... ...s required Compliance: · Gather, analyze and summarize regulatory updates and industry best practices for the team. · Review...
- ... the continued review, updating, and monitoring of the Firm’s compliance with HKSQM 1 and global network policies and procedures. S... ...s by the AFRC, the global network, and other professional and regulatory bodies, and communicate any findings, implement improvements,...
- ...ification would be an advantage At least 1-3 years of trust administration experience Strong knowledge of the trust regulatory and compliance regime Detail oriented, with the ability to work under pressure and minimum supervision Strong work ethics, profess...
- ... with internal and external parties, including solicitors and regulatory bodies ~ Ensure all statutory rules and regulatory requirem... ...rch technical issue ~ Keep abreast of changes in regulatory compliance laws, rules and regulations, and advising clients of the oper...
- ...e Bank Manage liquidity and interest rate risk for the Bank and to ensure all key risk indicators are in compliance with internal limits and fulfill regulatory requirements Collaborate with relevant business units on funding needs/uses, clients’ remittance and tra...
- ...e advices/analysis Execute full sales process with good sales planning/strategies Comply with full compliance with internal guidelines and external regulatory bodies Requirements Minimum 2 years of experiences from investment/wealth management/insurance...
- ...Services protects value. Our Financial Services practices provides advisory services to financial institution in addressing regulatory compliance matters, including compliance reviews, policy and procedures development, examination readiness reviews, risk assessments a...
- ...services Engage in marketing initiatives to develop new business and enhance customer relationships Ensure compliance with operational risk controls and regulatory guidelines Requirements: HKCEE/HKDSE graduate with 1+ year experience (financial institution preferred) Ca...
- ... records Adherence to deadlines for completion Customer Due Diligence reviews to ensure adherence to regulatory requirements Identification of compliance and/or risk issues and recommendation of remediation required with escalation where required to the Region...
- ...local market trends, competitor activities, demographics, and local regulatory changes. Partner with the product team to ensure products meet customer needs while maintaining competitiveness, compliance, and profitability. Requirements ~ Bachelor’s degree in Financ...
- ...East, Africa and Asia under newly forming regulations. As the regulatory landscape has evolved over this time, they have evolved with ... ...anagement efforts, ensuring timely responses to incidents and compliance with regulatory requirements. Host or support educationa...
- ...l business connections Maintain client relationships with good service quality and ensure thorough KYC is conducted in compliance with regulatory requirement Identify clients’ investment needs. Advise and provide customized private wealth management solutions whic...
- ... · Prepares FATCA/CRS files and arrange respective reporting before regulatory deadlines. · Act as the key contact with clients and investors on KYC related matters. · Ensures strict compliance with internal procedures and guidelines as well as the regulatory req...
- ... new projects planning, testing and implementation of loan product launch and system enhancement Contact point for IA/EY/Compliance/ regulatory bodies to handle regulatory enquiries/ reporting Provide administrative support to the department Responsible for CRA...
- ...screpancies promptly and effectively Ensuring all transactions and enquiries are processed/handled in accordance with relevant regulatory requirements, internal operational procedures and company policies Maintain a professional investor communication service and ...
- ... looking for a self-motivated, focused individual with strong compliance knowledge base to oversee the SFC regulated activities of our... ...C and AML checking in accordance with internal guidelines and regulatory requirements • Handle existing clients' account maintenance r...
- ...ofessional firms or listed companies experience ~ Solid knowledge and well-versed in Hong Kong listing rules and other relevant regulatory requirements for both listed and non-listed companies ~ Knowledge in ViewPoint 7.4 is preferred ~ Self-motivated, well-organi...
- ... with various internal and external parties and stakeholders including but not limited to various Business Units and departments, regulatory authorities such as the Companies Registry and other government departments etc. Provide a full spectrum of support, including...
- ...d maintenance of loan quality; To lead, motivate and train branch staff and ensure efficient operation of the branch in strict compliance with the Company's polices, internal control and all statutory requirements; and To devise and implement marketing campaign to...
- ...unts, including creation, modification, and deactivation, across various systems. Administer access control policies to ensure compliance with security standards. Monitor and troubleshoot identity management systems to resolve issues promptly. Maintain accurate...
- ...ports and summaries for the Medical Director, highlighting trends, discrepancies, and areas for improvement. Support audit and compliance checks by organizing and providing necessary documentation. Cross-Unit Support Coordinate with the operations teams, Drugs...
- ...d be an advantage Solid understanding of private banking management systems and operation workflows Familiar with policies, regulatory requirements, and industry best practices in Private Banking Strong team player with good interpersonal and communication skil...
- ...iance analysis. Collaborate with stakeholders to provide insights into financial performance and strategic planning. Ensure compliance with local financial regulations and reporting standards. Maintain accurate financial records and documentation. Familiarit...
- ...ion throughout the project lifecycle Collaborate with IT teams to ensure adherence to established IT governance, security, and compliance standards Prepare and present project reports, including project status, budget utilization, and key performance indicators, t...
- ...years’ experience in corporate or education management, professional development or training, ideally within a professional body, regulatory institution or financial sector. Demonstrated leadership ability with at least 3 years’ experience managing team or leading cr...