Head of Compliance

Head of Compliance (FinTech) (VW-HC324) Tsim Sha Tsui, Hong KongSalary: BonusHead of Compliance (FinTech)Our client is a financial technology platform focused on trade financing. We are currently assisting them in their search for a Head of Compliance to lead this function.Position ResponsibilitiesEffectively manages regulatory and operational risk exposures...

Head of Compliance (FinTech) Our client is a financial technology platform focused on trade financing. We are currently assisting them in their search for a Head of Compliance to lead this function. Position ResponsibilitiesEffectively manages regulatory and operational risk exposures within the company's operations by driving entity-level controls and...

Job description Risk and Compliance The Risk & Compliance function is a Second line of defence (LOD) function, responsible for reviewing and challenging the activities of business to ensure that they effectively manage as "Risk Owners" the risks inherent in or arising from the conduct of their activities and for which they are responsible. The Head of...

Moody's Investors Service is seeking a highly skilled professional to fill the role of Regional Compliance Head in the APAC region.This position will be responsible for executing the Compliance Program in APAC and reporting directly to the Chief Compliance Officer (CCO) at Moody's Corporation.We are looking for an individual with extensive experience in...

Get AI-powered advice on this job and more exclusive features. Direct message the job poster from EC1 Partners Connecting Top Legal, Risk & Compliance FinTech Talents Our client in the digital asset space is looking for a seasoned Head of Compliance based in Hong Kong. Key Responsibilities: Drive global regulatory strategy and licensing. Develop compliance...

Responsibilities:  Reporting to the APAC Head, the Head of Compliance-Hong Kong will oversee and advise on all Hong Kong-related compliance and regulatory matters, including:Being the primary liaison to the SFC exchanges and other regulatory bodies; Researching, interpreting and advising the firm regarding compliance with laws, regulations and guidance...

ResponsibilitiesManage a team of compliance professionals to manage the Bank's AML & Compliance function and act as s72B manager of the AML & Compliance function Liaise with regulators (HKMA) and file regulatory reports and other required documentation Provide advisory services to the senior management and business units on AML & Compliance related issues...

KOS International Limited is seeking a highly experienced professional to join our team as Head of Security Governance & Technology Risk.This is a newly established senior leadership position, tasked with assisting the department head in implementing robust and best practices of security governance, risk, and compliance procedures within the Technology...

SUMMARYManage a small team for the Bank's AML & Compliance function Ensure the Bank to comply with the Banking Ordinance and other relevant rules and regulations To act as s72B Manager of the Bank's AML & compliance function Keep abreast of updated regulations and report to the management formulate and execute all necessary measurements to control the risks...

Compliance Manager (Compliance Review)Job No.: 498495Employment Type: Full timeDepartments: Legal & Compliance and Operational Risk Management DepartmentJob Functions: Legal, Risk ManagementResponsibilities:Assist to formulate annual compliance review plan by referencing risk assessment results.Conduct regular/ thematic compliance reviews on an ongoing basis...

Compliance Manager (Compliance Review) Job No.: 498495Employment Type: Full timeDepartments: Legal & Compliance and Operational Risk Management DepartmentJob Functions: Legal, Risk Management Responsibilities: Assist to formulate annual compliance review plan by referencing risk assessment results. Conduct regular/ thematic compliance reviews on an...

About the Role:We are seeking a highly experienced and skilled compliance professional to join our team as Head of Compliance Risk Management in Asia Pacific.As a key member of our APAC Compliance team, you will be responsible for leading the development and implementation of effective compliance risk management strategies across the region.Your primary...

Responsibilities: Assist to formulate annual compliance review plan by referencing risk assessment results. Conduct regular/ thematic compliance reviews on an on-going basis covering the Bank and other major financial subsidiaries within the group to ensure adherence to regulatory/ Head Office requirements and internal policies. Coordinate or perform...

Senior Dealer (Head of Southeast Asia) Job No.: 492462 Employment Type: Full time Departments: Global Markets Job Functions: Dealing & Trading Responsibilities: Manage Southeast Asian branches' trading business. In charge of the risks/positions/market making business in the Southeast Asia market. Be responsible for supervising, leading, and...

Company Overview: Bank of Communications Co., Ltd. London Branch is a leading financial institution seeking a seasoned professional to lead our Financial Crime Compliance team.Salary: Competitive salary package and benefitsJob Description:We are looking for an experienced Assistant Head, Financial Crime Compliance to coordinate with internal departments in...

Responsibilities: Coordinate with internal departments in the handling of fraud cases reported from both internal and external parties. Manage and analyze the investigation results on suspected fraud cases (including but not limited to employee misconduct, integrity, fraud, bribery, and corruption). Review analytical reports on investigations to senior...

Head of Infrastructure & Operation (60698) Hong Kong About the Client Our client is a well-known and reputable listed company with a vast footprint and with their continuous expansion in their business, an excellent opportunity has arisen for a high-calibre Head of Infrastructure & Operation to join the team.About the Role Reporting to the department head,...

As an important member of their HK Compliance Team, you will report to the Head of Compliance HK and be responsible for providing compliance advice to the Global Investment Banking Business, compliance advisory for M&A, ECM, DCM, and IPO business, ongoing compliance training for front office staff, and handling regulators' (HKEx & SFC) on-site exams and...

Job DescriptionResponsible for the effectiveness of legal & compliance function Develop and implement policy and procedure to meet the internal compliance requirement and external regulatory requirements Provide advice and guidance on compliance issues for the launch of new products / services Provide practical recommendations for internal and external...

Responsibilities: 1. Risk Governance and Framework Oversight on Southeast Asian (SEA)entities: 1.1 Operational risk: Oversee and provide guidance on the implementation of operational risk frameworks across SEA entities, including operational resilience (HKMA OR-2), risk control self-assessments (RACAs), key risk indicators (KRIs), loss event...