Compliance Manager

Responsibilities : Assist to supervise licensing related works and offer advice on licensing issues Provide compliance advice to the different business units in relation to securities brokerage and wealth management business Review and advise on legal and compliance contracts and documentation Handle and implement compliance requests with internal...

Job Description Continuously implement the company’s compliance-related work in accordance with the requirements of the Hong Kong Securities and Futures Commission (SFC), identify and assess relevant compliance risks, and ensure that the company’s business complies with local regulatory requirements. Organize and implement the company’s operational...

Job Responsibilities Compliance housekeeping matters - Maintain accurate records and documentation relating to corporate and compliance activities, including PA trading and conflicts Regulatory reporting - Ensure and track compliance with relevant regulations, including CFTC, SEC, SFC, or AMAC-related filings Assist in broker account opening KYC process and...

Summary: Our client is a listed conglomerate. This role sits under the legal & compliance team and reports into the Head of Compliance. You will support the creation and upkeeping of internal compliances and governance policies. The ideal candidate should have experience in both general internal compliances and knowledge of IT governance & controlling...

Assistant Manager, Equities Compliance Position Description This senior Compliance position is part of the Equities Compliance team reporting into the Head of Equities Compliance. The Equities Compliance team provides compliance coverage to CLSA Institutional Equities (Sales and Trading) Business and Equities Derivatives Department. Key Areas of...

  Job Descriptions:  To provide compliance review and advisory; To develop and update compliance policies and guidelines; To review policies and procedures developed by the first line of defence to ensure compliance with the regulatory requirements; To promote compliance awareness and culture of the Company, including development and delivery of...

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,...

Job OverviewCICC is seeking a highly experienced Compliance Officer to join its team in Hong Kong. The successful candidate will be responsible for providing comprehensive compliance coverage to the CICC group of companies, focusing on sales and trading business activities across products.Main ResponsibilitiesProvide expert compliance advisory services to...

Job Responsibilities: 1. Assist in managing compliance and trading risk control for the Group's licensed entities, while taking the lead in certain daily operations. 2. Develop and maintain compliance policies to meet regulatory requirements, covering reviews, audits, licensing, reporting, inquiries, and AML/KYC support. 3. Deliver compliance training to...

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...

About Moody'sMoody's is a global integrated risk assessment firm that empowers organizations to make better decisions.Job DescriptionThe Senior Compliance Associate (SCA) will work within the Global Compliance Program Office, primarily supporting the APAC Compliance team. This role will work closely with the APAC Compliance team and support the...

The Company Our client is one of the leading asset managers in Hong Kong and Asia Pacific, with strong compliance culture in place, provide excellent work-life balance and career prospect. They are currently looking for an experienced, knowledgeable and driven compliance professional to become part of Regional Compliance Compliance Team. The Role As a part...

Compliance Specialist - APAC RegionA leading asset manager in the Asia-Pacific region is seeking a seasoned Regulatory Compliance Specialist to drive strategic compliance initiatives.The ideal candidate will have at least 3 years of experience in regulatory compliance, with a solid understanding of SFC type 1, 4, and 9 rules and regulations.This role...

About the RoleAt Allianz Global Investors, we are seeking a skilled Compliance Risk Manager to join our team in Hong Kong.This role will involve providing advice on Anti-Financial Crime Compliance related matters, including AML/CFT, ABC, Sanctions, Fraud and FATCA/CRS in a timely manner.The successful candidate will work collaboratively with team members...

Key Responsibilities: Responsible for overseeing compliance and providing advice on asset management business  Review and update the firm's compliance policies and procedures to maintain compliance with SFC requirements and other relevant regulations Stay up-to-date on changes in rules and regulations and industry best practices, and update compliance...

Job SummaryThis role is part of the Equities Compliance team at CLSA, reporting to the Head of Equities Compliance. The team provides comprehensive compliance coverage to Institutional Equities Sales and Trading Business and Equities Derivatives Department.Main ResponsibilitiesContribute to the development and update of compliance manuals and procedures in...

Job SummaryWe are seeking an experienced Compliance Risk Manager to join our team at Bank of China (Hong Kong) Limited. The successful candidate will be responsible for executing customer due diligence and Know Your Customer operational tasks, as well as performing and improving transaction monitoring processes.Main ResponsibilitiesCustomer Due Diligence and...

Job Description:As a Compliance Risk Manager at Bank of China (Hong Kong) Limited, you will play a critical role in ensuring the bank's operations align with regulatory requirements and industry best practices.About Us:Bank of China (Hong Kong) Limited is a leading financial institution in Hong Kong, providing a wide range of banking services to individuals...

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 guidance, conduct training and make recommendations for improvement areas to minimize compliance risk; Advise business...

Ashford Benjamin Ltd is seeking a seasoned Compliance Expert to join our team in the capacity of KYC Manager.About the RoleAs a key member of our compliance team, you will be responsible for overseeing and managing the Know Your Customer (KYC) process for new and existing clients. This involves ensuring adherence to regulatory standards and internal...