Senior Compliance Manager

Location(s): Moody's Analytics Hong Kong Ltd, The Center, 99 Queen's Road, Central, Hong Kong, Suite 5608-5610, 56th Floor, 10278, HK Line Of Business: Compliance(COMPLIANCE) Job Category: Corporate Services Experience Level: Experienced Hire At Moody's, we unite the brightest minds to turn today's risks into tomorrow's opportunities. We do this by...

Location(s): Moody's Analytics Hong Kong Ltd, The Center, 99 Queen's Road, Central, Hong Kong, Suite 5608-5610, 56th Floor, 10278, HK Line Of Business: Compliance(COMPLIANCE) Job Category: Corporate Services Experience Level: Experienced Hire At Moody's, we unite the brightest minds to turn today’s risks into tomorrow’s opportunities. We do this by...

Senior Compliance OfficerWe are looking for a highly skilled professional to fill the role of Senior Compliance Officer at Citibank (Switzerland) AG.About the PositionAs a Senior Compliance Officer, you will play a crucial role in ensuring the firm's compliance with regulatory requirements and internal policies.Your primary responsibilities will include...

The Role As a subject matter expert in AML based in Hong Kong, this individual will be a senior member of the AML team, reporting to the Head of FCC Compliance. Responsibilities include providing KYC/AML advisory services to various business lines, developing and implementing anti-money laundering policies and procedures, and executing training strategies...

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...

Job DescriptionAbout UsBank of China (Hong Kong) Limited is a leading financial institution in Hong Kong, providing a wide range of banking and financial services to individual and corporate customers.We are currently seeking an experienced Senior Financial Crime Compliance Manager to join our team. The successful candidate will play a key role in ensuring...

About the RoleThe Senior Compliance position within the Equities Compliance team at CLSA requires a professional with a strong background in compliance and regulation. This individual will contribute to the development and maintenance of compliance policies and procedures, ensuring adherence to regulatory requirements.ResponsibilitiesSupport the Head of...

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...

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...

Bank Of China (Hong Kong) Limited is committed to hiring a highly skilled Senior AML/CFT Compliance Specialist to join its team. The successful candidate will be responsible for overseeing the Bank's Anti-Money Laundering and Counter-Terrorist Financing (AML/CFT) compliance program, ensuring that all operations are conducted in accordance with relevant...

Company Overview:Robert Walters Hong Kong is a leading professional recruitment consultancy, dedicated to matching talented individuals with the best job opportunities. We offer a wide range of career prospects in various fields.Salary and Benefits:We provide competitive salary packages and comprehensive benefits to our employees, including health insurance,...

Job DescriptionThe Bank of China (Hong Kong) Limited is seeking a highly skilled Senior Risk Management Professional to join its team. As a key member of the organization, you will be responsible for conducting risk monitoring, control and compliance risk assessments of money market and capital market dealers' activities.You will oversee risk monitoring and...

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...

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...

Roles and Responsibilities: Develop, implement, and maintain compliance policies and procedures specific to the eMPF and MPF sectors. Monitor the compliance matters in relations to the operations of the Pension business Ensure internal polices are in accordance with legislation changes Prepare Compliance reports for senior stakeholders and liaise with...

As a Business Compliance Manager at Bank Of China (Hong Kong) Limited, you will play a pivotal role in ensuring the organization's adherence to relevant government regulations and internal guidelines.Key ResponsibilitiesConduct thorough reviews of customer profiles, KYC documents, and statistical data to provide recommendations for periodic reviews and...

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...

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...

Ashford Benjamin is supporting a reputable asset manager in compliance hiring for their Hong Kong team. This is an exciting opportunity for Compliance Specialists to gain exposure in the APAC region, covering alternative investment funds. The role is responsible for providing compliance advisory to fund businesses, managing employee compliance matters,...