Key Responsibilities: Develop, implement, and oversee the firm's compliance program to ensure adherence to regulatory... requirements; Conduct regular compliance audits and risk assessments to identify and mitigate potential risks; Monitor...
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...
from time to time Requirements University degree or above 3-5 years related insurance experience focusing on HNW brokerage... level of risk, sales quality, and compliance awareness Fluent in Cantonese, Mandarin and English Candidates...
Manager acts as staff to the Chief Executive Officer and Legal & Compliance Team by monitoring and reporting results of the... Compliance Manager, together with the Executive Management Team, is authorized to implement all necessary actions to ensure...
decades, known for our cutting-edge technology and client commitment. IBKR affiliates provide global electronic brokerage... Compliance with conducting compliance reviews and/or regulatory enquiries related to clients in the Asian time zone. Perform...
. Description As a Senior Business Development Manager , your main responsibilities will include: Relationship Management: Cultivate... and sustain strong relationships with brokerage firms, exchanges and their representatives to ensure access to Asia-Pacific...
workflows; Provide professional support to external counterparts, includ but not limits to US clearing firms, local brokerage... with less experience will be considered as Assistant Manager; Strong problem-solving and analytical skills; Excellent communication...
experienced Senior Manager of Counterparty Risk to oversee the OTC derivatives and prime brokerage operations. 工作内容 Lead...Senior Manager - OTC Counterparty Risk, Native Mandarin 客户简介 Our client is a leading Chinese firm seeking a highly...
brokerage division. Assist team manager to monitor and evaluate sales activities, track sales performance, and generate accurate... and professionally. Maintain accurate and up-to-date records of insurance transactions, contracts, and agreements. Ensure compliance...
brokerage division. Assist team manager to monitor and evaluate sales activities, track sales performance, and generate accurate... and professionally. Maintain accurate and up-to-date records of insurance transactions, contracts, and agreements. Ensure compliance...
in services standard and in compliance with regulations Handle general administrative work and document filing Support forms... ordering and printing arrangement Support account manager to generate Proposal, product comparison Provide sales...