Responsibilities Job Description: 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...
to complying with Financial Services Compliance to safeguard investor asset and to provide excellent service. uSMART Securities... & Putonghua) Previous sales related experience in Internet Brokerage firms preferred Company Benefits: 15 to 20 days annual...
clients’ financial planning needs. The Job: Process daily operation in accordance to company’s compliance standard... gatekeeper to check and maintain product database both qualitatively and quantitatively Assist Operation Manager on advisors...
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 administrative support...
Job Description A Compliance generalist that collaborates with business units to protect the Company from regulatory... conduct trend analysis and investigations. Maintain the Compliance Risk Register. Support training and awareness programs...
Job Description: A Compliance generalist that collaborates with business units to protect the Company from regulatory... conduct trend analysis and investigations. Maintain the Compliance Risk Register. Support training and awareness programs...
discrepancies, if any, by communicating with brokerage team Manage the accounting and related regulatory issues Support... of Bancassurance/ brokerage market, accounting and regulatory requirements Strong analytical, communication, and problem solving...
Recruit Ref: L059555567 Posting Date: 2025-01-17 Shanghai Commercial Bank Ltd Manager, Accounting & Finance... discrepancies, if any, by communicating with brokerage team Manage the accounting and related regulatory issues Support...
Overview Join our client, a leading international insurance brokerage firm, as an Account Manager specializing... strategic insights to clients. Compliance & Documentation: Ensure compliance with regulatory requirements and maintain accurate...
REQ11896 Senior Manager, Equity Administration (Open) POSITION SUMMARY: Ensure the accuracy and integrity... and in compliance with all internal controls. Ensure all equity compensation processes and data comply with local and international...
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...
, either at a financial institution of brokerage firm. Possession of relevant certifications, including MPF, general insurance... request by contacting our Personal Data Compliance Officer....
and journey with us. About The Business We help clients manage regulatory compliance, enforcement actions, financial crime... Compliance Officer, Chief Operating Officer, Internal Legal Counsel, External Legal Counsel or other designated client leaders...
ideas and enhance the Brokerage channel sales platform. Manage sales performance and review mapped account results... in delivering high-quality, compliant business solutions. Conduct regular performance reviews to ensure compliance with business...
services, IPO & placement Follow up confirmation, Fund transfer & Trading matching Perform compliance and risk management... or brokerage firm, custodians or asset management Experience in fixed income product settlement is preferred Sound knowledge...
and journey with us. About The Business We help clients manage regulatory compliance, enforcement actions, financial crime... Compliance Officer, Chief Operating Officer, Internal Legal Counsel, External Legal Counsel or other designated client leaders...
Net Worth business for the company, including but not limited to Brokerage and Bancassurance. Assist the team lead..., sales quality, and compliance awareness. Open-minded on managing multi-channels. Possess a high sense of responsibility...
, and problem solving skills, with good understanding of the Bancassurance/ brokerage market Ensure sales quality, compliance... segments via Bancassurance and Brokerage channel to drive a balance product mix and achieve business growth Perform sales...
and fintech company, OSL is one of the largest digital asset platforms, providing principal brokerage, custody, exchange and SaaS.... As the Crypto Payment Product Manager, you will lead the development of stablecoin payment products that facilitate seamless...