or bank compliance experience Qualification in ECF is preferred Customer-orientated, strong service mindset and able...
Position Description This senior Compliance position is part of the Equities Compliance team reporting into the Head... of Equities Compliance. Equities Compliance team provides compliance coverage to CLSA Institutional Equities (Sales and Trading...
compliance, and system business data consistency. Responsible for conducting special audits on income and providing process...
: Coordinate and monitor the overall compliance and operational risk for the Southeast Asia (SEA) and Hong Kong market. Oversee... activities. Manage the operational compliance risk management lifecycle, including: Providing expert consultation...
Responsibilities Risk Oversight: Coordinate and monitor the overall compliance and operational risk for the... reviews and comprehensive monitoring of business activities. Manage the operational compliance risk management lifecycle...
in handling legal and general compliance related tasks; Updating internal policies and procedures, liaising and managing...
will be assigned with related duties and responsibilities selected from the following areas: Monitor the compliance matters related..., internal policies, procedures, guidelines and processes. Perform quality assurance checking to ensure compliance, covering the...
and Qualification A recognized degree, or equivalent; A minimum of 6 years of relevant experience in legal / regulatory compliance...
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...
客户简介 Our client is a Chinese based securities firm, they are now looking for a sharp, solutions-driven compliance... professional to take charge of end-to-end compliance matters across our fixed income operations. 工作内容 As a Compliance Officer...
. Job description Perform AML compliance functions Familiar with KYC/CDD documents requirements Perform AML research and review on the hit..., management reporting, compliance monitoring and other AML compliance related tasks as may be required by regulators Ensure the...
its staff members. Responsibilities: Ensure strict compliance with all legislation and guidelines pertaining..., With product and compliance knowledge in bancassurance, Organized, responsible with good interpersonal skills, Good command...
Responsibilities : Review and enforce compliance programs in accordance with the policies and guidelines of the bank... regular and ad-hoc compliance reviews and self-assessments; Assist in compliance-related projects, initiatives, and system...
Key Responsibilities and Duties Assist to maintain Financial Crime Compliance(FCC) controls and governance framework... information Other ad-hoc duties when required Experience, Qualifications and Skills Degree holder who possesses compliance...
A recruitment agency in Hong Kong is looking for a candidate specialized in IT audit and compliance. The role...
enhancement projects, conducting compliance reviews, and providing training on financial crime-related compliance. The candidate... should hold a Bachelor’s degree and demonstrate the ability to follow up on compliance issues effectively. This position...
of potential misconduct/ fraud cases. Preparation of investigation reports in compliance with the internal and external... cover and support to other teammates. Any ad hoc assignments or tasks that may be delegated by Chief Compliance Officer...
and initiate necessary follow-up actions to ensure regulatory compliance. Prepare and submit suspicious transaction reports to the... Administration, Information Technology, or a related field. A minimum of 3 years of relevant experience in AML/CFT compliance...
Job Responsibilities Perform the function of Transaction Monitoring and/or STR filing Review the Internal STR submitted by other units and recommend if STR has to be filed to the JFIU Perform transaction monitoring / investigation to en...