Senior Compliance Manager

1 month ago Be among the first 25 applicantsGet AI-powered advice on this job and more exclusive features.ResponsibilitiesCompliance housekeeping matters - Maintain accurate records and documentation relating to corporate and compliance activities, including PA trading and conflictsRegulatory reporting - Ensure and track compliance with relevant regulations,...

Key ResponsibilitiesLead the regulatory and product compliance function, providing expert advice and guidance to senior management and line managers across FTB Offices in AP and HQ.Develop and implement internal policies and procedures to ensure compliance with regulatory requirements, including selling processes of investment products, client profiling,...

Digital Asset Compliance Specialist WantedWe are looking for a seasoned Senior Compliance Manager to join our team at EC1 Partners.The ideal candidate will have 8+ years of experience in compliance, including 5+ years in centralized crypto or Web3 platforms. Your primary responsibility will be to drive global regulatory strategy and licensing for our client...

Direct message the job poster from Excis ComplianceAs a Desktop Support Technician with Minimum of 3 years technical experience in providing quality services to the end users which includes the following key roles and responsibilities:Provide customer facing end-user support that includesBreak-fix support for Laptop, desktop, tablets and associated hardware...

Job Description:We are seeking a highly skilled Senior Compliance Risk Manager to join our team at Projob21 Ltd. The successful candidate will be responsible for performing annual risk assessments, reporting to the North Asia Head of Compliance, and overseeing the implementation of regional and global compliance and risk control governance.Key...

Direct message the job poster from SharkNinjaAs an Internal Auditor, you will promote and drive our zero-tolerance policy for corruption and conflicts of interest in our supply chain. You will partner with the operations, engineering, quality and compliance teams to ensure that our supply chain remains free from corruption, conflicts of interest and other...

Compliance Manager - Compliance Review DepartmentCompliance Manager - Compliance Review Department (Job ID:4625)ResponsibilitiesPrepare annual compliance review planLead and supervise compliance reviews and self-assessments and provide necessary coaching to more junior membersProvide recommendations to strengthen the Bank's control framework and follow up...

Senior Compliance Manager (Investment and Insurance focused) - Compliance DivisionJob No.: 498594Employment Type: Full timeDepartments: Legal & Compliance and Operational Risk Management DepartmentJob Functions: LegalResponsibilities:Provide advisory services to business units regarding regulatory compliance issues on investment or insurance...

Key Responsibilities:Develop and implement global financial crime compliance strategies, policies, and procedures in line with regulatory requirements and best practices. Lead and supervise a team of financial crime compliance professionals to ensure effective implementation of compliance programs. Conduct risk assessments and enhance controls to mitigate...

Job Description:Korea Development Bank Hong Kong Branch is seeking a highly experienced Senior Compliance Manager to join our team.Company Overview:We are a leading financial institution with a strong commitment to compliance and risk management. Our team works closely with regulatory bodies to ensure that we meet all relevant laws and regulations.Key...

Responsibilities: Review customer profile, KYC documents, customer statistic data and provide review recommendation for periodic review and trigger event review before submission to business Update and follow up customer information, verify customer identity & due diligence documents and provide advice on transaction analysis Monitor Customer review progress...

About Northern Trust:Northern Trust, a Fortune 500 company, is a globally recognized, award-winning financial institution that has been in continuous operation since 1889.Northern Trust is proud to provide innovative financial services and guidance to the world's most successful individuals, families, and institutions by remaining true to our enduring...

Howden Insurance Brokers (HK) Limited is part of the London-headquartered Howden Broking Group, a leading independent, global broker with offices in over 30 countries worldwide. It is the world's largest majority employee-owned insurance group. Its regional footprint covers Hong Kong, Indonesia, Malaysia, Philippines, Singapore (regional headquarters),...

We are seeking a seasoned Senior Compliance Manager (Solicitor) to lead our compliance efforts at Well Link Financial Group. The successful candidate will be responsible for developing and implementing effective compliance programs, ensuring regulatory compliance, and advising on legal matters. Key Responsibilities: Develop and launch compliance programs,...

Job SummaryWe are seeking a highly skilled Risk and Compliance Manager to join our team at Harvest Personnel Agency.The ideal candidate will have a strong background in risk management, compliance, and auditing, with a proven track record of ensuring regulatory compliance and identifying potential risks.Ensure Regulatory Compliance and Identify Potential...

Senior Manager/Manager, Regulatory Compliance Get AI-powered advice on this job and more exclusive features. Responsibilities: Provide compliance advisory primarily to the business units, review & assess compliance risks for new products and services, and work with stakeholders to develop practical solutions to address compliance challenges Lead regulatory...

As a Senior Risk Manager at Classy Wheeler Limited, you will play a critical role in shaping our risk governance strategy.Risk Management StrategyDevelops and implements risk management frameworks that align with industry best practices.Identifies, assesses, and prioritizes risks across the organization, ensuring effective risk mitigation...

About the RoleThis is an exciting opportunity for a Senior Governance Specialist to join our team. As part of the core team members, you will oversee Regulatory Affairs & Central Compliance issues, ensuring the organization's adherence to relevant laws and regulations.Key ResponsibilitiesOversight Regulatory Affairs & Central Compliance issuesDevelop and...

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,...

At DBS Bank (Hong Kong) Limited, we are committed to protecting the bank's interests and reputation by ensuring compliance with all relevant regulatory requirements. As a Senior Compliance Officer, you will play a critical role in this process.About UsWe are a leading financial institution in Hong Kong, dedicated to providing excellent service to our...