innovations, revolutionizing traditional finance while spearheading and advocating the needed regulation and compliance...
KYC process end-to-end, including ownership structure analysis and compliance checks. Client Due Diligence : Conduct... thorough client checks, including AML/KYC screenings, World-Check assessments, and compliance with regulatory requirements...
relationship managers in promoting business relationships, maximizing profits, and ensuring compliance with regulations. Ideal...
compliance. Liaise with external counsel, fund administrators, and regulators on operational and compliance matters... agreements, board resolutions, and disclosure materials. Support compliance matters for listed companies, including regulatory...
, investment mandates, or cross‑border transactions. Collaborate with internal departments (investment, compliance, operations...
Management (MTK) target Assist Team Lead to conduct RCSA review, policy and compliance audits, which will include reviewing...
Compliance, risk, and control experience with client suitability monitoring Possess banking product knowledge e.g. FX, Money...
prosperity of all." Job Summary Listing Division is responsible for supervising the listing process, the ongoing compliance... securities, monitoring post-listing compliance, handling complaints and investor education. It seeks to develop policy...
of award-winning solutions, supporting regulatory compliance, financial reporting, investment, and helping firms to develop... for Securities Trading and the requirements of the position. Employment is contingent upon compliance with the Policy, including...
deals, and listed company compliance work Strong English and Chinese drafting skills are essential Excellent command...
in compliance, risk, and control, along with a comprehensive understanding of banking products. The role emphasizes analytical...
registrations and ensure compliance with local regulations. The successful applicant will have a science-related degree and 1-2...
) on new and existing corporate clients to ensure compliance with regulatory requirements. Review and verify client..., Compliance, and other relevant departments to resolve KYC/AML issues and ensure timely case closure. Maintain accurate...
for supervising the listing process, the ongoing compliance by issuers with their obligations under the Listing Rules, and ensuring... applications of structured products and debt securities, monitoring post-listing compliance, handling complaints and investor...
in executing IPO and capital markets transactions, with strong awareness of regulatory compliance requirements Possess excellent...
compliance with control processes Develop and maintain IT policy and standard Evaluate new products and technology, plan...
with our CPA team at the Hong Kong Headquarters to finalize financial statements and ensure compliance with relevant standards...
. Maintain records of insurance transactions, contracts, and agreements. Assist in ensuring compliance with industry regulations...