complete compliance with regulatory requirements Oversee the end-to-end process of establishing and listing closed-ended...
of financial industry experience in Hong Kong, familiar with local market and regulatory environment At least 5+ years of ETF..., market structure, and regulatory requirements Established network of institutional and intermediary clients in the region...
activities, and regulatory classifications (e.g., Professional Investor, CRS, FATCA). Validate account opening documentation... reviews of existing clients. Coordinate with Legal and Compliance to confirm document standards and regulatory expectations...
and existing clients in compliance with regulatory requirements. Ensuring accurate documentation and verification of customer... of regulatory requirements and changes in the financial services industry. Providing support for audits and regulatory reviews...
consultancy and advisory, M&A, IPOs, internal control reviews, taxation, fraud investigation and regulatory compliance services...
: Ensure all activities adhere to regulatory requirements and internal policies, maintaining the highest standards of ethical..., or asset management firm. Deep understanding of financial markets, trading strategies, and the regulatory environment...
laundering and other undesirable transactions/activity during and after client on-boarding process. Regulatory & Business... for embedding the highest standards of ethics, including regulatory and business conduct, across Standard Chartered Bank...
against pre-agreed risk profile Ensure integrity of sales process and compliance with all HSBC and regulatory policies. Follow...: Extensive knowledge of private banking business, competitive and regulatory environment Solid market knowledge and portfolio...
, and regulatory alignment for banking systems. Implement and maintain monitoring, logging, and alerting for platform and applications...
to establish and maintain robust frameworks for IT governance, risk mitigation, and regulatory compliance; Serve as a trusted... regulatory landscape, including guidelines and cybersecurity obligations; and Good command in both written and spoken English...
, corporate actions, TA processes, and ETF primary market Familiarity with the Hong Kong regulatory framework for public funds...
regulatory and market developments and provide feedback on the market and the business to the sales and management. Comply.... Financial Services industry and regulatory experience. Economic analysis and modelling. Emerging technology...
department to ensure internal and regulatory standards are met; Participate in sales events, roadshows, assist to accomplish...
or changes in electronic payment systems arising from industry or regulatory requirements, or work with business owners and end...
our business profile and ensures compliance with an increasing complex regulatory environment. In this role you will support the...
and guidelines of the bank, regulatory authorities and the investment guidelines, mandates of the client. Perform regular checks... restrictions, good understanding of HKMA / SFC / MPFA regulatory requirement Good interpersonal, leadership and communication...
of initiatives and projects Ensure full compliance with all Group Standards, regulatory requirements, and risk management frameworks...
regulatory developments; and Involving in formulating regulatory policies and drafting policy papers. Requirements...: At least 8 years of post-qualification experience in legal practice and a focus on or significant exposure to regulatory matters...
that industry-specific requirements are accurately captured and aligned with local regulatory standards. Support project scrum... management, and lineage. Understanding of insurance industry standards and regulatory requirements as they impact data capture...
, continuous improvement, and compliance with regulatory requirements Participate in cross-functional projects and UAT testing...