Senior Compliance Associate

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...

AVP/ Associate Director, AML Compliance – Equities/ Securities Team Lead, Trade Surveillance & AML Monitoring Location: Hong Kong   Main Duties and Responsibilities: Covering and manging the team for  AML/CTF, Trade Surveillance/ Monitoring  and FATCA/CRS Provide AML/CTF guidance and advisory to the senior management and to business and support units....

FIND YOUR 'BETTER' AT AIA We don't simply believe in being 'The Best'. We believe in better - because there's no limit to how far 'better' can take us. We believe in empowering every one of our people to find their 'better' - in the work they do, the career they build, the life they live and the difference they make. So that together we can support even...

Associate, Compliance Risk and Diligence (Chinese Language) Compliance Risk and Diligence | Hong Kong, Hong Kong | 21010937 In a world of disruption and increasingly complex business challenges, our professionals bring truth into focus with the Kroll Lens. Our sharp analytical skills, paired with the latest technology, allow us to give our clients...

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...

Compliance Analyst - AML Programme (Assistant / Associate) Location : Hong Kong   Responsibilities: Conduct ongoing review and analysis of enterprise clients' AML program/profile and transactions in accordance with established procedures with our clients ' AML group policies. Open to travel; Complete and attend AML site visits in the APAC region. Conduct...

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...

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...

Overview Due to business needs, an International corporate bank is seeking for a Senior Associate - Corporate Banking to support the front office team to cover key HK Large Corporates and Conglomerate portfolio of client accounts. Responsibilities * Support senior relationship managers to maintain existing HK Large Corporates customer portfolio and expand...

Job Description Draft and revise compliance manual and various other policies Advise for company-related affairs to ensure compliance with regulatory requirements; Handle the SFC inquiry responses and follow up on implementation; Responsible for AML work, compliance review and guidance for product promotion and sales; Assist in formulating compliance...

Senior Analyst, Investment Compliance Apply locations Hong Kong time type Full time posted on Posted 10 Days Ago job requisition id 74728 There is a place for you at T. Rowe Price to grow, contribute, learn, and make a difference. We are a premier asset manager focused on delivering global investment management excellence and retirement services that...

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...

Senior Analyst, Investment Compliance (15-month contract) Senior Analyst, Investment Compliance (15-month contract) Apply locations: Hong Kong, Singapore Time type: Full time Posted on: Posted 30+ Days Ago Job requisition id: 74435 There is a place for you at T. Rowe Price to grow, contribute, learn, and make a difference. We are a premier asset manager...

Main Responsibilities: Monitor daily trading activities and transactions to ensure compliance with firm policies and Hong Kong regulatory requirements Review and update the firm's compliance policies and procedures to maintain compliance with SFC requirements and other relevant regulations Conduct compliance risk assessments and recommend mitigation...

Responsibilities Liaise with SFC about the license applications and answer all enquiries from SFC about different types of applications Maintain regular compliance review program against business activities of the Group Preparing responses to SFC inquiries and investigations Assist in reviewing and updating various compliance policies of the Group on a...

Technology Risk - Senior Associate/Assistant Manager 2 days ago Be among the first 25 applicants Your new role Conduct comprehensive IT risk assessments and audits, identifying vulnerabilities and recommending actionable solutions. Lead and participate in cybersecurity compliance reviews, ensuring adherence to regulatory requirements and industry best...

Company Overview:Larson Maddox is a leading European Securities Brokerage firm with a strong presence in Hong Kong.Position Overview:We are seeking a dedicated Regulatory Compliance Manager to join our Hong Kong team. The successful candidate will be responsible for trade monitoring and surveillance, KYC/AML activities, and various general compliance tasks....

Our HR team oversees and contributes at both hands-on and strategic levels to support leaders and our employees. While HR, at its core, focuses on the mindful management of the company's relationship with our employees, culture management focuses on the heartfelt aspects of the employees' relationships with the company. Our HR team consists of professionals...

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...