complete compliance with regulatory requirements Oversee the end-to-end process of establishing and listing closed-ended...
is a regulatory framework established by the Hong Kong Monetary Authority, which requires banks to check the conduct history...
-first goals. Compliance: Ensure all projects and operations adhere to company policies and regional regulatory...
with regulatory requirements and internal AML policies Conduct regular procedure reviews to ensure consistency with current... regulatory and internal compliance standards Collaborate closely with business units to provide effective KYC support...
comprehensive KYC documentation in line with regulatory, internal, and SFC guidelines. Perform ongoing monitoring and regular... reviews of client data to ensure compliance with KYC, AML, and related regulatory requirements. Detect and report any unusual...
authorities Enhance the credit policies, procedures, and controls to optimize the Group's risk exposure and ensure regulatory...
, and regulatory alignment for banking systems. Implement and maintain monitoring, logging, and alerting for platform and applications...
) deliver on regulatory commitments and iii) drive the growth in strategic areas Ensure programmes align with CIB and Group... with regulatory mandated local variances, and apply appropriate and effective governance frameworks Ensure effective governance...
needs Maintain contact and communication with other institutional investors, intermediary channels and regulatory agencies...
, compliance, and risk oversight. Stay abreast of regulatory changes impacting group entities and ensure timely implementation...; coordinate with regulatory authorities as required. Prepare and review disclosures, circulars, resolutions, and other relevant...
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...
according to regulatory requirements; Perform other job-related duties or any other ad-hoc projects...
consultancy and advisory, M&A, IPOs, internal control reviews, taxation, fraud investigation and regulatory compliance services...
Perform drug dispensing and other duties related to pharmacy service and medication management according to regulatory...
documents to ensure compliance with regulatory standards Ad-Hoc Projects & Process Improvement Support cross-functional...
department to ensure internal and regulatory standards are met; Participate in sales events, roadshows, assist to accomplish...
Key Responsibilities Act as the primary compliance advisor on Hong Kong regulatory requirements (e.g., SFO, SFC Codes... documents, disclosures, ongoing obligations) Provide specialist guidance on ETF regulatory obligations including disclosure...
compliance of financial institutions in Hong Kong; Good understanding on investment products and relevant regulatory compliance...
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...
, corporate actions, TA processes, and ETF primary market Familiarity with the Hong Kong regulatory framework for public funds...