: As a senior Associate in Regional Compliance Surveillance team, you will report to manager in Hong Kong. You will be responsible... relevant laws and regulations. You will also be part of the bigger Compliance Surveillance team with a chance to get involved...
prosperity of all." Job Summary: The Market Surveillance & Monitoring Department is primarily responsible for maintaining the... integrity of the cash and derivatives markets through real-time trade monitoring and enforcing rule compliance of HKEX...
prosperity of all." Job Summary: The Market Surveillance & Monitoring Department is primarily responsible for maintaining the... integrity of the cash and derivatives markets through real-time trade monitoring and enforcing rule compliance of HKEX...
record in Hong Kong. Reporting to the Head of Compliance, the AVP/ Associate Director, AML Compliance will lead a team... to staff and representatives. Design compliance surveillance / monitoring programs and conduct compliance AML monitoring...
surveillance related matters; Handle staff dealing, outside appointment and compliance declaration related matters, staff training... developments or internal requirements Handle internal investigation and disciplinary actions on compliance related matters...
About our Conduct, Financial Crime and Compliance Surveillance Monitoring and Investigation Team Legal risks... all. Join our Conduct, Financial Crime and Compliance Surveillance Monitoring and Investigation team and you'll be a gatekeeper to the...
- understanding of core compliance functions: risk assessment, policy management, testing, monitoring and surveillance and reporting...FSO - Consulting - Financial Services Risk Management (NFR/FRM) - Senior/Staff Associate - Hong Kong...
Competencies Compliance Policies and Standards Compliance Advisory Compliance Review and FCC Assurance Surveillance (including... requirements Work with relevant stakeholders on compliance with Group standards relating to AML/Sanctions/ABC People & Talent...
internal audit initiatives. 3. Compliance Assist in conducting market abuse and trade surveillance activities across the.... ) 1. Asset Allocation 2. Audit Analytics 3. Compliance 4. Corporate Accounting 5. Global Market Strategy 6...