Assistant 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...

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 Purpose: • To assist Group Compliance Division in discharging the duties of ensuring the Bank’s compliance with rules, regulations and guidelines issued by regulatory bodies on e.g. data privacy, deposit protection, Code of Banking Practice and technology risks etc. • To assist Group Compliance Division in promoting bank wide compliance culture...

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, but...

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,...

Responsibilities: Provide advisory services to designated business units regarding regulatory compliance issues 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 and regulations Conduct compliance training...

Assist in day-to-day compliance matters including trade surveillance work Provide compliance advice and support business initiatives Handle regulatory reporting and inquiries with the relevant Exchanges and Regulators Carry out compliance testing for securities brokerage and other related businesses Assist in internal and external audit, inspections and...

Responsibilities: Assist in formulating and maintaining compliance policies and procedures Perform compliance investigation, checking, monitoring and review Ensure that the Bank’s operations meet with the relevant legal and regulatory requirements as well as industry guidelines and practices Provide compliance advice to business and support units ...

Responsibilities: Assist in formulating and maintaining compliance policies and procedures Perform compliance investigation, checking, monitoring and review Ensure that the Bank’s operations meet with the relevant legal and regulatory requirements as well as industry guidelines and practices Provide compliance advice to business and support units ...

Job DescriptionJob Title: Assistant Manager - Regulatory ComplianceCompany: Securities and Futures CommissionJob Summary:We are seeking a highly skilled and experienced Assistant Manager to join our Investment Products Division. The successful candidate will be responsible for a combination of regulatory work, including the processing of applications for...

Responsibilities: Provide prompt, sound and consistent compliance advice, interpretation and recommendation on business and new financial products; Co-ordinate and handle enquires from business departments regarding to regulatory compliance requirements and provide advice and recommendations; Influences and negotiates with seniors across functions and...

Responsibilities: Provide prompt, sound and consistent compliance advice, especially can handle statutory enquiries from regulators (e.g. SFC / HKEX) independently; Co-ordinate and handle enquires from business departments regarding to regulatory compliance requirements and provide advice and recommendations; Influences and negotiates with seniors...

Responsibilities: Provide prompt, sound and consistent compliance advice, especially can handle statutory enquiries from regulators (e.g. SFC / HKEX) independently; Co-ordinate and handle enquires from business departments regarding to regulatory compliance requirements and provide advice and recommendations; Influences and negotiates with seniors across...

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...

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 stakeholders to enhance...

Compliance Manager / Senior Compliance Manager Location: Hong Kong   Responsibilities: To assist in formulating compliance-related rules, operational procedures, and business processes, and to participate in establishing the compliance management framework To conduct compliance reviews of internal management policies, major decisions, new products and new...

Job SummaryWe are seeking a highly skilled Compliance Manager to join our team at Bank of China. The successful candidate will be responsible for formulating compliance standards, plans, and objectives, as well as streamlining compliance processes and drawing up compliance staffing and authorization systems.Key ResponsibilitiesAssist in the development and...

**Job Summary**Bo Le Leaders Ltd is seeking a highly skilled Legal and Compliance Manager to join our team. As a key member of our organization, you will be responsible for ensuring that our company remains compliant with all relevant laws and regulations.**Key Responsibilities:****Identify and Stay Up-to-Date on Regulatory Requirements**: Stay abreast of...

Valuable Capital Group is a leading technology-driven financial solution provider. We offer efficient, tailored, comprehensive and quality services to millions of retail individuals, as well as institutional and corporate clients across the globe. Our service has a global presence with operations in Mainland China, Hong Kong SAR, Singapore, the United States...

Responsibilities:Coverage includes Cigna’s general insurance business and group-wide initiatives;Comprehensive exposure to compliance support for the development and/or ongoing review of applicable compliance and regulatory requirements, including but not limited to licensing, data protection, anti-money laundering, economic sanctions, anti-bribery,...