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- 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...
- 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...
- ...or AI hubs worldwide and nurtures a vibrant, dynamic AI community. Location: Hong Kong Position Overview The Legal and Compliance Manager needs to lead cross-border legal structuring, compliance system development, and risk mitigation for its AI cloud platfo...
- 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...
- 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 ...
- ...by offering a dynamic working environment, good career development opportunities and competitive compensation packages. Risk and Compliance The Risk & Compliance function is a Second line of defence (LOD) function, responsible for reviewing and challenging the activi...
- ...eds from sophisticated investors. We are currently seeking a high caliber professional to join our team as Securities Business Compliance Manager. Principle Responsibilities To take leading role in the Business Development and Controls team and work on the incr...
- Job Duty Provide support in content creation and social media management. - Photos and footage selection - Video editing - Assist in filming outfit and props organisation - Miscellaneous tasks related to content creation
- ...chasing power to cater for investment needs from sophisticated investors. We are seeking a high caliber to join us as Business Compliance Manager. Principal Responsibilities Keep abreast of relevant group guidelines as well as regulatory requirement and identif...
- MISSION he Risk & Compliance Manager plays a critical role in supporting our mission to maintain a resilient and effective risk management and compliance framework that safeguards the organization while enabling sustainable growth in our precious metals trading oper...
HKD 80k - HKD 100k per month
My client is seeking a Compliance Director/SVP in Hong Kong to lead regulatory initiatives for its expanding digital asset investment platform, including crypto hedge funds, DeFi strategies, and tokenized securities. The role combines deep expertise in traditional fina...HKD 50k - HKD 80k per month
The Investment & Insurance Compliance Manager is responsible for providing business advisory to their I&I business with a stronger focus on distribution of insurance products. This role will report directly to their Head of Regulatory Compliance. Client Details O...- ...by offering a dynamic working environment, good career development opportunities and competitive compensation packages. Risk & Compliance Our Risk and Compliance function focuses on delivering effective risk management with strong subject matter expertise to facil...
- ...ist in structuring and implementing internal control program (i.e. ISAE 3402) for the firms； Compose regular and ad-hoc written compliance / internal control / audit reports to headquarters Compliance, Internal Audits and other departments where necessary； Cater and...
HKD 50k - HKD 100k per month
As a Business Compliance Officer, you will ensure adherence to regulatory requirements and internal policies within the fintech industry. This role is based in HK and you will be the main contact person for compliance related projects between different teams within com...- ...l Channels: Generate compelling content specifically tailored for our digital platforms, including our e-commerce site, emails and social media. SEO & Digital Advertising: Develop and implement SEO strategies, along with managing SEM, eDM, and YouTube advertisi...
- ...Minimum 5 years’ experience in banking or financial institutions with relevant exposure to AML, transaction Monitoring or banking compliance Familiar with SAS AML System is preferred and knowledge in AML related regulatory requirements Knowledge in banking operati...
- ...erprise Client Hybrid Working Model/ Work Life Balance Established Career Growth And Development We are seeking a strong Compliance Assessment Associate to join our client, a leading High-Tech company in the APAC region. In this role, you will be responsible fo...
- Job Summary We are seeking a proactive Senior Compliance Officer to support our bond trading and fixed income business by managing regulatory compliance, responding to SFC inquiries, and mitigating compliance risks. The role involves close collaboration with the ...
- Job Responsibilities: Support and advise the business on various regulatory compliance matters pertaining to regulatory requirements from the respective licensed entity. Develop and maintain comprehensive regulatory compliance policies, procedures, and verificat...
- Responsibilities: Handle compliance work in relation to securities brokerage, ECM and DCM business; Handle Chinese Walls and control room matters including but not limited to maintenance of the Watch List and Restricted List, wall crossing procedures, market soun...
- About the role This full-time Compliance Officer role within a leading professional firm offers an exciting opportunity to join a dynamic and forward-thinking organisation. Reporting to the Compliance Manager, you will play a key part in ensuring the firm maintains...
- ...libre candidates to join us and develop successful careers with us. Responsibilities: Report to the Head of Financial Crime Compliance, the incumbent will support the head in leading a team to formulate the Bank’s anti-financial crime related quality assurance pro...
- ...ent purpose. Welcome to learn more about China Minsheng Bank at Job responsibilities: Formulate and implement the Bank's compliance policies and procedures to ensure the Bank's operations are in compliance with the regulatory and group requirements. Lead the...
- Registered Social Workers (Part time) Requirement: Degree RSWs or non-degree RSWs Less experienced RSWs will deliver workshops, groups and programmes, and assist in communications and networking. More experienced RSWs will assist in service development an...
- Assistant Legal Manager – Legal and Compliance (Banking) Responsibilities: Instruct and liaise with external counsel on litigation matters and provide accurate and strategic advice to the management and the relevant internal units; Draft, review and negot...
- ...t just a job, here is a good opportunity for you. Undergo a comprehensive on-the-job training which covering daily function of Compliance Department of the Bank Fresh university graduates with bachelor’s degrees or above preferably in Business Administration, Law,...
- ...ons: Act as the contact point of regulatory and law enforcement bodies Handle regulatory enquires & inspections and general compliance matters Provide advisory support to the business units on regulatory and compliance requirements (e.g. marketing materials, ne...
- Compliance housekeeping matters – Maintain accurate records and documentation relating to corporate and compliance activities, including PA trading and conflicts Regulatory reporting – Ensure and track compliance with relevant regulations, including CFTC, SEC, ...
- ...xternal parties for handling complaints in both of routine and regulatory issues, to enforce and monitor resolving actions are in compliance with policies and procedures Analyze customer opinions and complaints, identify areas for enhancing service quality, and prepa...