Compliance Assistant

3 months ago


Hong Kong, Hong Kong SAR China moomoo Full time
  • Assist in day-to-day compliance matters including trade surveillance work
  • Provide compliance advice and support business initiatives
  • Handle regulatory reporting and inquiries with the relevant Exchanges and Regulators
  • Carry out compliance testing for securities brokerage and other related businesses
  • Assist in internal and external audit, inspections and investigations from Exchanges and Regulators
  • Assist in monitoring of regulatory changes and update the policies and procedures
  • Manage internal and external audit, inspections and investigations from the auditors, Exchanges and Regulators
  • Liaise and collaborate with different departments to formulate, drive and implement remediation of compliance issues
  • Assist in ad hoc projects as required

Requirements

  • University/College graduate
  • Relevant work experience in financial or securities industry is preferable
  • Good command of written and spoken English and Chinese, proficiency in Putonghua is a privilege
  • Proficiency in computer applications such as MS Office
  • Responsible, hardworking, well-organized, and able to work under pressure
  • A good team player with strong interpersonal and analytical skills

  • Compliance Assistant

    3 weeks ago


    Hong Kong, Central and Western District, Hong Kong SAR China Dah Sing Financial Group Full time

    About Dah Sing Financial GroupThe Dah Sing Financial Group is a leading financial services organization in Hong Kong, offering a wide range of banking, insurance, and financial services through its extensive network of over 70 branches in Hong Kong, Macau, and Mainland China.We value a culture of caring, teamwork, and progressiveness. We recognize that each...


  • Hong Kong, Hong Kong SAR China Dah Sing Financial Group Full time

    About Dah Sing Group The Dah Sing Group is a leading financial services group in Hong Kong offering banking, insurance, financial and other related services through its growing network of over 70 branches in Hong Kong, Macau and Mainland China. Our currency is caring, teamwork and progressiveness. We accept that everyone is unique and different in talent,...


  • Hong Kong, Hong Kong SAR China Dah Sing Bank Full time

    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. data privacy, deposit protection, Code of Banking Practice and technology risks etc. • To assist Group Compliance Division in promoting bank wide compliance culture...


  • Hong Kong, Hong Kong SAR China Dah Sing Financial Group Full time

    About Dah Sing Group The Dah Sing Group is a leading financial services group in Hong Kong offering banking, insurance, financial and other related services through its growing network of over 70 branches in Hong Kong, Macau and Mainland China. Our currency is caring, teamwork and progressiveness. We accept that everyone is unique and different in talent,...


  • Hong Kong, Hong Kong SAR China Bank Of China (Hong Kong) Limited Full time

    Responsibilities: Provide advisory services to designated business units regarding regulatory compliance issues Participate and assist in regulatory compliance-related projects, initiatives and system launch / enhancement Review policies and procedures, compliance manuals etc. in accordance with the relevant laws and regulations Conduct compliance training...


  • Hong Kong, Central and Western District, Hong Kong SAR China Dah Sing Bank Full time

    Job Purpose:As a key member of the Group Compliance Division at Dah Sing Bank, you will play a vital role in ensuring the bank's compliance with regulatory requirements and guidelines. Your primary responsibility will be to assist in the development and implementation of compliance policies and procedures, as well as to conduct regular reviews and...


  • Hong Kong, Central and Western District, Hong Kong SAR China Dah Sing Bank Full time

    Job Purpose:As a key member of the Group Compliance Division at Dah Sing Bank, you will play a vital role in ensuring the bank's compliance with regulatory requirements and guidelines. Your primary responsibility will be to assist in the development and implementation of compliance policies and procedures, as well as conducting regular reviews and...


  • Hong Kong, Central and Western District, Hong Kong SAR China Dah Sing Bank Full time

    Job Purpose:To assist the Group Compliance Division in ensuring the Bank's compliance with regulatory bodies' rules, regulations, and guidelines, including data privacy, deposit protection, Code of Banking Practice, and technology risks.Main Responsibilities:• Review and provide advice on compliance-related documents, workflows, procedures, and...


  • Hong Kong, Central and Western District, Hong Kong SAR China Bank Of China (Hong Kong) Limited Full time

    Job SummaryWe are seeking a highly skilled Compliance Risk Manager Assistant to join our team at Bank of China (Hong Kong) Limited. The successful candidate will be responsible for assisting the Compliance Risk Manager in formulating and updating compliance risk and KYC policies and procedures in line with the latest regulatory requirements and market...


  • Hong Kong, Central and Western District, Hong Kong SAR China Bank Of China (Hong Kong) Limited Full time

    Job SummaryWe are seeking a highly skilled Compliance Risk Manager Assistant to join our team at Bank of China (Hong Kong Branch). The successful candidate will be responsible for assisting the Compliance Risk Manager in formulating and updating compliance risk and KYC policies and procedures in line with the latest regulatory requirements and market...

  • Compliance Assistant

    2 months ago


    Hong Kong, Hong Kong SAR China SAFE Investment Full time

    Job Description: This position provides you with the opportunity to provide administrative support to our Legal Department. Job Responsibilities: Handle internal staff’s compliance matters Provide secretarial and administrative support, such as document processing, filing, data checking and verification Draft simple correspondence and documents Assist in...


  • Hong Kong, Hong Kong SAR China Mizuho Bank, Ltd Full time

    Company Overview Mizuho has a long-term commitment to the Hong Kong market. With strong ties to Mizuho’s global network and a workforce of over 600 staff in Hong Kong, we are able to help corporations in Hong Kong to expand their business worldwide. Our clients primarily comprise Japanese and non-Japanese corporations (including those domiciled in the...


  • Hong Kong, Central and Western District, Hong Kong SAR China Mizuho Bank, Ltd Full time

    About Mizuho Bank, Ltd.Mizuho Bank, Ltd. is a leading global financial services institution with a strong presence in Hong Kong. As an integral part of the Japan-based Mizuho Financial Group, Inc., we offer a wide range of financial services to individuals, corporations, and financial institutions.Job SummaryWe are seeking a highly skilled and experienced...

  • Accounting Assistant

    2 months ago


    Hong Kong, Central and Western District, Hong Kong SAR China The Hong Kong Federation of Youth Groups Full time

    Job SummaryThe Hong Kong Federation of Youth Groups is seeking a highly skilled Accounting Assistant to join our team. As an Accounting Assistant, you will play a crucial role in ensuring the accuracy and compliance of our financial documents.Key ResponsibilitiesReview and assess accounting documents to ensure compliance with regulatory requirementsPrepare...


  • Hong Kong, Central and Western District, Hong Kong SAR China SMBC Group Full time

    **Job Summary**We are seeking a highly skilled and experienced Compliance Risk Manager to join our team at SMBC Group. As a key member of our compliance team, you will be responsible for conducting effective and objective compliance monitoring activities, identifying potential or actual regulatory risks, and proposing recommendations to mitigate these...


  • Hong Kong, Hong Kong SAR China EFG International Full time

    Main Duties and Responsibilities Provide advisory support and challenge to ensure that Client Relationship Officers perform initial and ongoing customer due diligence in accordance with EFG Global standards as well as applicable AML/ CFT/ Sanctions/Tax regulations and laws; Subject matter expert to guide Hong Kong based Client Relationship Officers,...


  • Hong Kong, Central and Western District, Hong Kong SAR China Mizuho Bank, Ltd Full time

    About the RoleMizuho Bank, Ltd. is seeking a highly skilled and experienced Compliance Officer to join our General Compliance Team in the Legal and Compliance Section. As a key member of our team, you will play a critical role in ensuring the bank's compliance with relevant laws and regulations.Key ResponsibilitiesAssist in managing the General Compliance...


  • hong kong, Hong Kong SAR China Bank of China Full time

    Assistant / Compliance Manager (Hong Kong Branch) Job No.: 494223Employment Type: Full timeDepartments: Hong Kong BranchJob Functions: Risk Management Bank of China limited first opened its branch office in Hong Kong in 1917. After the listing of BOC Hong Kong (Holdings) Limited, a subsidiary of the Bank, on the Hong Kong Stock Exchange in 2002, Bank of...


  • Hong Kong, Hong Kong SAR China CITIC CLSA Full time

    Position Description The AML Compliance Officer will be part of the Financial Crime Compliance team in CLSA, reporting into Regional Head of Financial Crime Compliance. The AML Compliance Officer should work with the team to ensure efficient identification and monitoring of suspicious activities and transaction within CLSA; ensure timely report of suspicious...

  • Compliance Officer

    2 weeks ago


    Hong Kong, Central and Western District, Hong Kong SAR China moomoo Full time

    Job SummaryWe are seeking a highly skilled Compliance Assistant to join our team at moomoo. The successful candidate will be responsible for assisting in day-to-day compliance matters, including trade surveillance work, providing compliance advice and support for business initiatives, and handling regulatory reporting and inquiries with the relevant...