and regulatory examination with GFM COO Office and Compliance Conduct quarterly controls testing for rogue / unauthorized trading... regulatory inspections, audits or other risk issues, and alert Head of GFM HK of potential and / or actual past due issues...
and regulatory examination with GFM COO Office and Compliance Conduct quarterly controls testing for rogue / unauthorized trading... regulatory inspections, audits or other risk issues, and alert Head of GFM HK of potential and / or actual past due issues...
evidence material. Support client advisor to ensure regulatory compliance of submitted materials from client and client advisor... queries. Facilitate exceptional handling on risk-based approach, and coordinate with Business and Financial Crime / Compliance...
governance framework, risk management, regulatory compliance processes and internal controls systems Participate in the... with Technology Division, Operations Division, Chief Operating Officer Divisional Office, Data Management Office and Information...
-to-end security assessments and ISO compliance audits. Assist with external audit and regulatory compliance activities... workflows to strengthen control measures. Compile and present security reports to the Chief Security Officer and senior...
any suspicious activity to the Unit Money Laundering Prevention Officer and line manager. To bring to the attention of the Senior... and controls in the business and, if necessary, oversee changes in these areas; Awareness and understanding of the regulatory...
are within regulatory guidelines established by Compliance Department procedures • Use online "Cerved" Italian Chamber of Commerce database... Officer for review and approval for subsequent delivery to the Compliance Department • Send Request for Information (RFI...