Responsibilities: Provide prompt, sound and consistent compliance advice, interpretation and recommendation... compliance requirements and provide advice and recommendations; Influences and negotiates with seniors across functions...
. We are now seeking a talented individual to join them as a Compliance Manager for their Investment Services team. Position... Responsibilities Directly report to the COO and CCO. Conduct daily compliance monitoring in accordance with existing ARP Compliance...
of regulatory compliance and operational risk management in accordance to PMSA Codes of Conduct. S/he will be responsible... for formulating and reviewing compliance manuals, designing policies and procedures as well as providing trainings to keep the...
Risk and Compliance Manager About the Client Our client is a private business group with operations in HK, China... and some overseas countries. Currently, they are looking for a Manager to develop the enterprise risk management and compliance function...
. We are now seeking a talented individual to join them as a Compliance Manager for their Investment Services team. Position... Responsibilities Directly report to the COO and CCO. Conduct daily compliance monitoring in accordance with existing ARP Compliance...
and monitored as well as report of all control deficiencies to line manager in timely manner. Conduct Compliance monitoring... and mitigation actions as well as report the findings to line manager in timely manner. Perform onboarding vetting process...
and monitored as well as report of all control deficiencies to line manager in timely manner. Conduct Compliance monitoring... and mitigation actions as well as report the findings to line manager in timely manner. Perform onboarding vetting process...
. We are seeking a high caliber to join us as Senior Business Risk and Compliance Manager. Principal Responsibilties Establish... and compliance support to Investment business to ensure compliance with the relevant laws, rules, codes, regulations and guidelines...
Manager. They mainly focus on listed trading products across HK and US Stock market. The Role As the Legal and Compliance... Manager, you will play a key role in ensuring regulatory compliance and risk management within our organization...
. Come join us for the following position. Responsibilities Develop & implement an effective AML/CFT compliance frameworks across the... as high risk Stay informed the latest compliance and AML/CFT regulatory requirements, industry trends and any emerging...
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 bodies on e.g...
& management to ensure that vulnerabilities identified in the Bank are properly assessed and timely mitigated Review compliance... and Mitigating Hacking Risks Associated with Internet Trading, PCI DSS) to assure that the Bank are compliance with the relevant...
Job Responsibilities: Conduct yearly IT compliance report , review and special projects Prepare IT audit reports..., present investigation findings and offer recommendations Evaluate the risk management, regulatory compliance processes...
and fiduciary matters to Trustee director Client onboarding management and ther Compliance related issues Job requirement... Degree holder in Law/Business/Economics/Compliance with CPA Holder At least 3 years of related working experience Good...
Responsibilities: Develop and implement compliance policy and review program covering our equities and futures... businesses with particular emphasis on the compliance with the relevant rules and regulations in Hong Kong; Provide compliance...
Compliance Duties Main Focus: Corporate governance and relevant guidelines, Intermediary's conduct related... regulations, market conduct, product and marketing related regulations. Develop and launch compliance programs (e.g., gap...
Responsibilities: Provide compliance consultation and advice on licensed business; Draft, review and comment... compliance monitoring program regularly; Prepare internal compliance reports required by the Head Office; Handle internal...
Job Responsibilities: * Develop, implement and maintain the financial crime compliance program, including policies... compliance checking work to ensure adherence to internal policies and regulatory requirements. Provide training and guidance...
for all compliance matters including AML/KYC and business compliance matters. Client Details My client is a global asset management... staff in their HK office. Description Report directly to their CCO whilst working alongside a compliance colleague...
or related disciplines Minimum 3 years of experience in project management/AML compliance/information technology; experience... Compliance Officer....