Search Results: 15,405 vacancies
Job description:
Provide compliance support in broad scope including compliance monitoring, regulatory reporting/filing, licensing, marketing materials, personal dealing, investment compliance, compliance risk assessment and projects;
Provide compliance adviso...
...experience with 2 years’ post-qualification work experience in compliance, preferable in data protection and risk management;
# experi... ...els of CIC staff, external auditors and consultants as well as officers from other regulatory or public bodies;
# to provide secreta...
...’ 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...
...nt 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 arrangin...
...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...
...eal research publication process and coordinate with Business, Compliance and
External Counsel in regard to pre-deal research
• Pro... ...ns and industry best
practices
• Proficiency in Microsoft Office and PowerPoint
• Responsible, thorough, professional and hig...
Responsibilities:
~Provide guidance and support to management and staff on compliance-related matters for front and middle back office operations (SFC RA1,2,4,5,9)
~Review and revise compliance manuals, policies, procedures and systems to keep abreast of new and re...
...anies operate in 16 financial hubs, with offices in Singapore, Hong Kong, China, US, Japa... ...dating policies and procedures to ensure compliance of business with relevant rules and regu... ...ience will be considered for the post of Senior Audit and Compliance Officer.
If you ...
...ghlights
Full set of Internal Audit / Compliance Functions
Internal Audit
Risk asse... ...re audit reports and present findings to senior management
# provide ad hoc support as... ...tal insurance
- Excellent and friendly office environment (newly renovated and next to...
... date on regulatory changes, assessing impact and advise management for any implications
Perform and review regular and ad-hoc compliance checking
Provide support on ad-hoc projects and task
Requirements:
~ Bachelor’s degree holder or above, preferable wit...
We seek a highly motivated Compliance Officer to assist us in a dynamic financial markets environment ( Based in London, we are a global, m... ...e.
Other critical compliance support and interaction with senior management.
Requirements:
Sound ethical and professio...
Location: Hong Kong
Reporting to: Head of Compliance
Responsibilities:
Perform pre/post-trade investment monitoring base... ...evenings when required
Career Growth: Candidates with less experience will be considered for the role of Compliance Officer.
Job Responsibilities:
An excellent opportunity for gaining experience in compliance assurance activities.
Promote ethical and proper business practices via assurance review in various areas like dealing insecurity, anti-trust and fair competition, AML, data pri...
Our Client is Finance Institution Company, they are seeking a candidate who has Compliance knowledge in Banking & financial fields.
Responsibilities:
Assist the Compliance Department to handle compliance matters
Provide support in contract or agreement ...
Senior Compliance Manager
Eclipse Trading is one of Asia's leading proprietary trading firms. Founded in 2007, we have over 120 employees across three office locations – Hong Kong (our HQ), Sydney, and Shanghai. Our trading expertise and strategies are deployed acro...
...t limited to delisting or relisting applications;
Perform compliance control and monitoring programs including but not limited to c... ...spoken English and Chinese, and Fluency in Mandarin is preferred;
Less experience will be considered as Compliance Officer.
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...
...nk with established business arcoss captial markets, sales & trading and asset management in the region is looking for an AML Compliance Officer to join the team.
Responsibilities
Investigate and assess alerts generated by the system, and from internal and extern...
...ial services group. To cope with continues growth in securities and futures division they are now urgently looking for a Compliance Officer / Senior Officer to join the team in Hong Kong
Job Description
Ensure company policies, internal control procedures and man...
Classy Wheeler Limited
Hong Kong Island
3 days ago
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...
