in today's environment. The practice focuses on key risk areas relating to strategic level, operational, financial and regulatory compliance... provide leading edge services on risk, regulation, governance and compliance to our clients to allow them to better focus...
Responsibilities: Under the supervision of Compliance Officer to review policies and procedures Assist to handle...: University Degree in Law / Finance / Business Administration or related disciplines 1 years of compliance experience in SFC...
. To support their continued growth and commitment to regulatory excellence, they are currently seeking a dedicated Compliance... professional to join their Regulatory Compliance and Governance team in Hong Kong. They offer a dynamic work environment...
in today's environment. The practice focuses on key risk areas relating to strategic level, operational, financial and regulatory compliance... provide leading edge services on risk, regulation, governance and compliance to our clients to allow them to better focus...
Key Responsibilities Provide support on compliance matters, including regulatory change management, submissions..., inspections, case reviews, and monitoring of personal account dealings. Develop, revise, and enforce compliance policies...
Key Responsibilities Provide support on compliance matters, including regulatory change management, submissions..., inspections, case reviews, and monitoring of personal account dealings. Develop, revise, and enforce compliance policies...
and data privacy are analyzed and lead to control enhancements. Lead the compliance advisory and oversight of the high net... and associated Bermudian requirements Lead the enhancement and automation of Sales Compliance and Data Privacy dashboards...
Department Profile The Compliance Department is a service-oriented department which provides guidance and advice..., implements compliance policies as required, and provides training. It also undertakes surveillance activities and utilises...
Overview As a Senior Compliance Officer based in our Hong Kong office, you’ll help ensure trading activity in Hong... Do Develop and oversee programs and systems to ensure compliance with market rules, regulations and internal policies...
integrity of the cash and derivatives markets through real-time trade monitoring and enforcing rule compliance of HKEX... and communication events, including seminars and roundtables with industry associations, and publication of compliance bulletin Prepare...
and mitigating compliance risks. Provide reasonable assurance that the Bank and its employees comply with applicable laws... regulators and monitoring authorities with respect to compliance matters. Work closely with business partners to broaden...
as an innovator, industry thought leader and trusted advisor to our clients. The Regulatory Compliance Officer will support general... business and regulatory compliance matters for Hong Kong and also provide periodic regional coverage for other offices in North...
as an innovator, industry thought leader and trusted advisor to our clients. The Regulatory Compliance Officer will support general... business and regulatory compliance matters for Hong Kong and also provide periodic regional coverage for other offices in North...
Overview As a Senior Compliance Officer based in our Hong Kong office, you’ll help ensure trading activity in Hong... do Develop and oversee programs and systems to ensure compliance with market rules, regulations and internal policies...
and mitigating compliance risks. Provide reasonable assurance that the Bank and its employees comply with applicable laws... regulators and monitoring authorities with respect to compliance matters. Work closely with business partners to broaden...
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...
and regulatory compliance, and assisting senior lawyers in transaction execution. A law degree is required, and proficiency...
A leading financial market operator in Hong Kong seeks a compliance and enforcement professional to oversee various... or compliance, and a strong understanding of financial markets. Responsibilities include conducting inspections, engaging...
A leading recruitment agency in Hong Kong seeks a compliance advisor to manage client relationships with top-tier asset... compliance advisory services. A Bachelor's Degree is required. Ideal candidates will have strong time management skills and the...
, and ensuring compliance with safety and quality standards for the destination country. The successful candidate will communicate...