An exciting opportunity has arisen for a seasoned professional to take on the role of Team Head of Central Compliance Team. Join an organization that values commitment, cooperation, and empathy. Responsibilities include managing regulatory inquiries, supervising report...
Rober Walters Hong Kong
Hong Kong Island
1 day ago
...upplier, is now looking for an outstanding talent:
Senior Compliance Officer – Japanese Speaking
Responsibilities:
Respons... ...years working experience, experience in ISO audit and possess J-SOX knowledge will be an advantage
Proficient in Putonghua
Go...
Our client, an esteemed Regional Corporate Bank, is looking for an AVP to join their compliance assurance and reports to the Head of Compliance Assurance.
Responsibilities:
~Conduct effective, objective, risk-based compliance monitoring activities pursuant to the...
...manufacturer 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; materi...
...under the supervision of the Hong Kong Monetary Authority.
Responsibilities:
~Assist in reviewing policies and/or conducting compliance control/audit
~Prepare compliance reports for management review
Requirements:
~Degree holder
~Those candidates with so...
...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...
... the business strategies, goals and initiatives.
Roles & Responsibilities
Proactively contribute to the enhancement of AML compliance processes and controls
Conduct thorough analysis to identify potential AML issues, red flags, gaps, and risks in KYC informati...
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...
...rrently seeking high caliber candidates to join our big family.
Responsibilities :
~Monitor trading activities and conduct compliance monitoring reviews;
~Keep informing the up-to-date regulatory and legislative change;
~Review account opening documents and A...
...nt.
For other vacancies, please visit our website at
Job No.: 499187
Employment Type: Full time
Departments: Legal & Compliance and Operational Risk Management Department
Job Functions: Legal, Risk Management
Responsibilities
~Assist Team Head to m...
...nt.
For other vacancies, please visit our website at
Job No.: 492271
Employment Type: Full time
Departments: Legal & Compliance and Operational Risk Management Department
Job Functions: Legal, Risk Management
Responsibilities:
~Provide advisory ser...
...ed financial services for Chinese clients involved in overseas investment.
Job Responsibilities
Attend to ongoing compliance requirements under the Companies Ordinance, Securities and Futures Ordinance and relevant subsidiary legislation and codes issued...
...f the company's overall procurement management system and avoid Compliance risks 3. Promote the execution quality of procurement processes... ...quirements and audit requirements (including but not limited to SOX, GDPR, DPL/RPL and legal and regulatory requirements), connect ...
...
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...
...igh calibre professional to join our department.
Responsibilities
Act as primary or secondary auditor in market data compliance audits, prepare audit reports and transform massive data into meaningful analysis reports
Perform checking on unauthorized use...
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...
...uding preparing written plans, reports & providing documents to the HQ;
Monitor overall business operation and conduct AML/KYC/Compliance auditing to ensure compliance with internal policies and external regulations;
Advise and review account opening processes;
...
Responsibilities :
Assist to supervise licensing related works and offer advice on licensing issues
Provide compliance advice to the different business units in relation to securities brokerage and wealth management business
Review and advise on legal and co...
...d just a job, and an environment where you can be your true and authentic self, like at home.
Job Purpose:
To assist Group Compliance Division in discharging the duties of ensuring the Bank’s compliance with rules, regulations and guidelines issued by regulatory ...
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...
...aliber to join our Bank
Job Responsibilities:
Assist in handling daily transaction monitoring
Provide support to the Compliance Department
Handle ad-hoc projects as assigned
Job Requirements:
Degree holder, with 1~2 years relevant working experien...
...ntrol policies and procedures
Prepare various strategic reports and assist in company activities
Ensure the organization in compliance with applicable laws and regulations
Perform ad hoc duties as assigned
Qualifications & Requirements
Diploma or a...
Compliance, Management, Social Responsibility, Supplier Code of Conduct, Audit Tools, On-site Inspections
Our client is seeking a dedicated and experienced Compliance Manager to join their team in Hong Kong. This role offers the opportunity to make a significant imp...
Rober Walters Hong Kong
Hong Kong Island
1 day ago
Responsibilities:
Monitor and manage the daily compliance works for the Group’s business activities, ensure to comply with the internal policies and external regulations
Key person in drafting, reviewing, negotiating and advising agreements, legal contracts and ...
... up with our rapid expansion, we are sincerely hiring talents to join our Group.
Key elements of the job:
~Provide practical compliance advice for business such as retail and institutional brokerage, global markets business and businesses of the Group
~Ensure com...
Scope of Responsibilities:
~To design and implement compliance programs to address market conduct, meet regulatory requirements and internal policies on sales compliance, conduct risk and personal data privacy
~Providing compliance advice to business units to ensur...
...tual bank licensed by the Hong Kong Monetary Authority.
Job Description
This position reports to Senior Manager, Regulatory Compliance while working alongside other Legal and Compliance Department staff to ensure the Bank’s compliance with all the relevant legal a...
HKD 50k - HKD 100k per month
This role will report directly to the head of legal and compliance whilst working alongside an AML/KYC colleague. This role will focus on general compliance duties including regulatory compliance, audit, risk, and business compliance advisory.
Client Details
My c...
...as Financial Markets, Strategic Products, Sectors, Lending and Transaction Services and other support functions.
What does the Compliance Team do in ING?
We cover the regulatory framework to provide advice regarding the regulations and ING policies. We support the b...
...ovative tools and features to elevate their trading proficiency.
Our current vacancy | Full-time | Long-term | REMOTE
The Compliance Revenue Specialist is responsible for overseeing the financial transactions within a cryptocurrency exchange, ensuring compliance...