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- This position functions as an independent and objective body that reviews and evaluates compliance issues/concerns within the organization. The position ensures the management and employees are: (i) in compliance with the rules and regulations of regulatory agencies, (...
- Responsibilities: Formulate, review and update relevant compliance manual, compliance plan and procedures Implement and update relevant compliance policies and standards in accordance with applicable MPFA, SFC, HKMA, CR and other regulatory requirements Revie...
- ... 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...
- ... Location: Hong Kong Position Overview The Legal and Compliance Manager needs to lead cross-border legal structuring, complia... ...gapore, Cayman Islands, and BVI laws, with a focus on AI cloud services, export controls (e.g., U.S. EAR), and global sanctions regime...
- Responsibilities: Plan and execute comprehensive compliance reviews across business units to ensure adherence to policies and regulations (e.g., AML, KYC). Identify control weaknesses, gaps, and potential regulatory risks during reviews. Prepare clear and act...
- Key Responsibilities Compliance Role: Conduct compliance monitoring (e.g., trade surveillance especially bond products, KYC/AML checks, employee dealing reviews) to ensure adherence to SFC rules. Review existing company policy and procedures. Manage reg...
- Responsibilities: ~ Provide prompt, sound and consistent compliance advice, interpretation and recommendation on business and new financial products. ~ Co-ordinate and handle enquires from business departments regarding regulatory compliance requirements and...
- 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, ...
- The Dah Sing Group is a leading financial services group in Hong Kong offering banking, insurance, financial and other related servic... ... banking sales and delivery comply with regulatory guidelines, compliance requirements and internal control policies Assist to set up...
- ...d in the regional and global markets. We are looking for qualified individuals to join us. Responsibilities: Handle General Compliance related matters Handle enquiries, inspections, audits from regulators and external parties Assist in compliance monitoring ...
- ... or a related field ~1-3 years of experience in IT security, compliance, or audit ~ Familiarity with risk assessment methodologies, ... ...orks ~ Previous experience in providing training or advisory services on security policies Preferred Education and Experience: ...
- ...corporate and investment banking. “With Care, With You” is our service concept. We are committed to providing professional, tailor-ma... ...t in developing, reviewing, evaluating and updating the Bank’s compliance policies, procedures, guidelines and compliance related docume...
- ...ent to training and continual professional development. This position provides you with the opportunity to learn and provide compliance management and support. Job Responsibilities: Handle internal staff’s compliance matters Provide administrative support...
- Responsibilities : Review and enforce compliance programs in accordance with the policies and guidelines of the bank and regulatory bodies; Handle enquiries from regulators such as HKMA/SFC/DPB and coordinate onsite/offsite/ad -hoc surveys; Conduct regular and...
- Our client, a Global Asset Management firm, is seeking an experienced and self-driven Compliance Professional to join their Hong Kong team. This key regulatory role offers the opportunity to work closely with the Head of Compliance and serve as a direct liaison with th...
- A Career with Hang Seng Bank Hang Seng is committed to service excellence. Our people are our most important asset and play a vit... ...stors. We are seeking a high caliber to join us as Business Compliance Manager. Principal Responsibilities Keep abreast of rele...
- ...a Asia Financial Group is a full-fledged banking and financial services group encompassing the territories of Hong Kong, Macau and Pea... ... innovation, and excellence. Responsibilities Provide compliance advisory service and support to business and operation units w...
- ... strive to provide one-stop cross-border banking and financial services to customers in Hong Kong, mainland and overseas Chinese. Ridi... ...ry requirements, formulate and supervise the implementation of compliance review plans, conduct sample transactions checking, particular...
- Senior Compliance Manager (Public Sector) We are partnering with a respected public sector organization to help them hire a Senior Co... ...ance experience, ideally in NGOs, government, or public/social service sectors Excellent problem-solving, writing (English and Chi...
- Compliance Senior Manager / Manager Job Responsibilities: - Handle corporate and individual SFC licensing applications - Arrange compliance trainings and keep track of training records - Review client due diligence (KYC) documents submitted by sales on new ...
