looking for 5-7 years of general compliance exp ! Must be from securities firm ! About Our Client The client... should have: Bachelor's degree or higher Minimum 5 years of compliance experience from securities firm Must have experience...
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...
of securities and asset management businesses, identify compliance risks, and propose improvement suggestions. Review client...Responsibilities Familiar with Type 1 license business, ensuring company operations comply with Hong Kong Securities...
Responsibilities We are seeking a Compliance Manager with sound SFC and regulatory liaison experience from a securities firm...Job Title: Securities Regulatory Compliance Manager (SFC, Regulatory side) Location: Central, Hong Kong...
Responsibilities We are seeking a Compliance Manager with sound SFC and regulatory liaison experience from a securities firm...Job Title: Securities Regulatory Compliance Manager (SFC, Regulatory side) Location: Central, Hong Kong...
expected to https://www.cpjobs.com/hk/job/risk-compliance-manager-hk-listed-sfc-type-1-securities-brokerage-admiralty...Company Background We are a securities brokerage firm holding a Type 1 license (securities trading) from the Hong...
A leading financial institution in Hong Kong is seeking a Compliance Manager to ensure adherence to local regulations... within a securities firm. Fluency in English, Cantonese, and Mandarin is required. The position offers a competitive salary and exposure...
力於培育人才及提升營運效能。 We are a securities brokerage firm holding an SFC Type 1 licence (dealing in securities), and a subsidiary of a Hong Kong listed company..., liquidity, operational, legal, and compliance risks specific to securities trading and OTC derivative product issuance...
disciplines. A minimum of 2-5 years’ experience of compliance in a securities company, trust company or company secretarial firm..., but are not limited to) The Compliance Officer reports to the Compliance Manager by monitoring and reporting results of the compliance...
A financial services firm in Hong Kong is seeking a Compliance Manager to oversee operations and ensure adherence... in financial institutions. Responsibilities include managing compliance reviews, supervising trading activities, and identifying...
Description Brokerage Firm – Compliance Manager / Assistant Manager Location: Central / Western District Scope...: Oversee core compliance for Hong Kong, Singapore, and Australia Report directly to Head of Core Compliance Liaise...
Description Brokerage Firm - Compliance Manager / Assistant Manager Location: Central / Western District Salary...'s Degree 4-5 years solid compliance experience in brokerage/securities Interested? WhatsApp Winnie 69364005 Industry...
Description Brokerage Firm – Compliance Manager / Assistant Manager Location: Central / Western District Scope...: Oversee core compliance for Hong Kong, Singapore, and Australia Report directly to Head of Core Compliance Liaise...
Responsibilities Responsible for performing HK securities settlement Perform daily settlement operation, including... securities, futures & options, asset management, corporate actions and other CCASS/DCASS operations Corporate actions, nominee...
Company Background 公司背景 We are a securities brokerage firm holding an SFC Type 1 licence (dealing in securities..., operational, legal, and compliance risks specific to securities trading and OTC derivative product issuance operations 每日...
背景 We are a securities brokerage firm holding an SFC Type 1 licence (dealing in securities), and a subsidiary of a Hong Kong listed company... market, credit, liquidity, operational, legal, and compliance risks specific to securities trading and OTC derivative product...
Job Description: The Company Our client, a leading Chinese securities firm, is seeking a highly experienced... with clients during periodic reviews to resolve screening issues and escalate exceptions to AML or Compliance when necessary...
Legal and Compliance Manager (Compliance-oriented) Responsible for independently managing and providing compliance... process, etc., from both Hong Kong and Cayman Island perspectives. Provide product compliance support for funds...
experience in financial services companies, preferably with a focus on securities and fund compliance. In‑depth knowledge of SFC...Company Description Seazen Resources Capital Group Limited, established in 2012, specializes in securities brokerage...
The Compliance Analyst supports the asset management firm's compliance program by monitoring and ensuring adherence... with regulatory bodies to uphold the firm's compliance integrity. Key Responsibilities: Conduct ongoing monitoring of investment...