Regulatory Compliance

about the company Our client is an expanding Crypto Exchange with a strong presence globally. about the job You will monitor the changes and development on relevant new laws, rules and regulations in the APAC region You will liaise with regulators and handle regulatory inquiries, audits, inspections, questionnaires and surveysHandle APAC compliance issues,...

Officer, Regulatory Compliance Services Hong Kong Mon - Fri, 9am - 6pm Hybrid The position  Our Regulatory and Compliance Services (RCS) ensure our clients to meet both their local and global regulatory needs and provide customized support to keep our clients informed of the evolving regulatory requirements impacting their business. Our team based...

Responsibilities: Responsible for Hong Kong Regulatory Compliance matters Act as regulatory advisor to securities, wealth management and asset management business and control function Monitor relevant regulatory changes and development Implement related policies and procedures Support new business initiatives and ensure related rules and regulation are...

Job description We are currently looking for a Senior Consultant with Financial Services background, having worked preferably within banking & financial services sectors. Our projects are geared around delivering Operational Strategy across domains. Senior Consultant, Hong Kong ( Regulatory & Compliance  ) Due to our growth in Asia, we are...

Job description We are currently looking for a Senior Consultant with Financial Services background, having worked preferably within banking & financial services sectors. Our projects are geared around delivering Risk and Regulatory across domains. Consultant/Senior Consultant, Hong Kong (Risk & Regulatory) Due to our growth in Asia, we are...

Job description We are currently looking for a Consultants with Financial Services background, having worked preferably within banking & financial services sectors. Our projects are geared around delivering on Risk & Regulatory topics across domains Consultant - Hong Kong ( Regulatory & Compliance ) Due to our growth in Asia, we are looking...

- Required to have prior SFC regulatory working experiences - Very strong in wealth management product due diligence and compliance experiences - Fluent in Mandarin is a MUST

Responsibilities: Provide advisory services to business units (including retail banking, corporate banking and global markets) regarding regulatory compliance issues on new products/ services and business propositions Participate and assist in regulatory compliance-related projects, initiatives and system launch / enhancement Review policies and...

We are currently in search of a Regulatory Counsel on behalf of our client. This pivotal role entails providing legal and regulatory guidance across various jurisdictions in APAC and Europe. The Regulatory Counsel will work closely with the Head of Regulatory Affairs and other senior colleagues across the organization to implement strategies in key markets....

Job Title: Management Consultant (Finance and Regulatory Reporting) Key Responsibilities: Client Engagement: Engage with clients to understand their business objectives, challenges, and regulatory requirements related to financial accounting and reporting. Build strong relationships with client stakeholders, including finance, regulatory, and IT teams, to...

FIND YOUR 'BETTER' AT AIA If you believe in better, we’d love to hear from you. About the Role This role plays a critical role in ensuring compliance with regulatory requirements and shaping the company's policy development strategies within the insurance industry. This role will closely monitor changes in regulatory frameworks and analyze their...

AVP/VP – Regulatory Change Management Experienced, dynamic compliance professional required to join the Jefferies Asia Compliance Team. This is a Hong Kong based role reporting to the Head of Hong Kong Compliance. The candidate should have solid institutional broker dealer, investment banking experience, ideally gained from a US or European...

Responsibilities: Provide advice to the business units regarding regulatory compliance issues on general banking products/ services (including deposit, loans, credit cards, fintech projects) and business propositions Assist the business units in evaluating the risk involved in any new products/services, new procedures and business development Participate...

Responsibilities Prepare annual compliance review plan Conduct compliance reviews and self-assessments Prepare regular management reports on compliance updates and issues Provide recommendations to strengthen the Bank’s control framework and follow up the implementation of recommendations given Communicate regularly with AMLD/CECD on latest...

Responsibilities : Take a leadership role in shaping, implementing, and refining our organization's compliance program to align with regulatory mandates and company objectives.  Maintain an in-depth understanding of industry regulations, laws, and standards, providing expert guidance to the compliance team and stakeholders. Oversee compliance audits...

Key Responsibilities: Design, implement, and oversee a comprehensive compliance monitoring program, focusing on investments to ensure alignment with developed Asian market standards Lead the execution of communications and trading surveillance activities to detect and prevent market abuse, insider trading, or other breaches of regulatory standards.  Engage...

Scope of Responsibilities: To design and implement compliance programs to address market conduct, meet regulatory requirements and internal policies on sales compliance, conduct risk and personal data privacy Providing compliance advice to business units to ensure business initiatives are in accordance with relevant regulatory requirements Liaising and...

Responsibilities: Provide advisory services to business units regarding regulatory compliance issues on investment or insurance products/ services 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...

Responsibilities : Perform EDD for high risk merchants whilst ensuring timeliness, accuracy and completeness. Perform compliance review on escalations by 1LOD. Provide support to the MLRO for regulatory reporting, management reporting which includes project scoping, data extraction and submission to the regulators/senior management.  Develop,...

Compliance Manager/Senior Manager   Responsibilities: Compliance Policy and Procedures: Develop and update the company's compliance policies and procedures to ensure business activities comply with national and regional financial regulatory laws. Regulatory Agency Communication: Maintain close contact with regulatory agencies to stay informed about and...