Accountabilities Fund-Service Compliance * Review investor documentations according to Company’s KYC standard and applicable... regulatory requirements Provide an outstanding list of KYC documents required based on the client’s structure Ensure timely...
. Coordinate ABC due diligence on vendors or other third parties to ensure the compliance with local, Group and regulatory... that they are in full compliance with local, Group and regulatory requirements. Conduct Compliance reviews relating to AML/CTF, sanctions...
Responsibilities: Conduct investigation on compliance and red flags, liaise and report suspicious case to Securities... with IT team and perform user acceptance test to validate, review and rectify drawbacks found; Handle ad hoc compliance...
Coordinate ABC due diligence on vendors or other third parties to ensure the compliance with local, Group and regulatory... that they are in full compliance with local, Group and regulatory requirements Conduct Compliance reviews relating to AML/CTF, sanctions...
Develop and conduct internal trainings on all compliance related issues Keep abreast of regulatory developments and provide... regulatory updates and compliance advice on business initiatives Assist to review, maintain and enhance the existing compliance...
Tasks and Responsibilities Assist in reviewing business documents and related materials to ensure compliance... with relevant laws and regulations Responsible for license applications and the establishment of regulatory frameworks Handle ad...
Activity Reports (SAR) for regulatory submission. Oversee compliance with local KYC regulations, ensuring effective processing..., monitoring, and collaboration with stakeholders for timely updates. Assist in preparation of MIS on compliance and MLRO issues...
Activity Reports (SAR) for regulatory submission. Oversee compliance with local KYC regulations, ensuring effective processing..., monitoring, and collaboration with stakeholders for timely updates. Assist in preparation of MIS on compliance and MLRO issues...
and Compliance Management Team. Responsibilities: Define & track action plans against internal/external audit recommendation... within technology team. Facilitate regulatory review with technology team and regulators. Perform reviews to enhance controls...
Activity Reports (SAR) for regulatory submission. Oversee compliance with local KYC regulations, ensuring effective processing..., monitoring, and collaboration with stakeholders for timely updates. Assist in preparation of MIS on compliance and MLRO issues...
Responsibilities: Conduct investigation on compliance and red flags, liaise and report suspicious case to Securities... with IT team and perform user acceptance test to validate, review and rectify drawbacks found; Handle ad hoc compliance...
(SARs) in accordance with regulatory requirements Collaborate with internal teams (e.g., Compliance, Risk, Operations...Your new role Assist the Head of Compliance and MLRO in conducting money laundering investigations by analysing...
(SARs) in accordance with regulatory requirements Collaborate with internal teams (e.g., Compliance, Risk, Operations...Your new role Assist the Head of Compliance and MLRO in conducting money laundering investigations by analysing...
(SARs) in accordance with regulatory requirements Collaborate with internal teams (e.g., Compliance, Risk, Operations...Your new role Assist the Head of Compliance and MLRO in conducting money laundering investigations by analysing...
new policies and procedures in light of regulatory or business developments Working closely with other compliance teams...’s businesses in Hong Kong Knowledge and Experience Strong financial services compliance or regulatory legal background...
. Serve as the Manager-in-Charge (MIC) for Compliance, ensuring regulatory accountability Support the launch and ongoing... and regulatory standards. Conduct regular reviews of compliance issues related to operational and investment activities...
entities in implementation Assist and manage end to end AML/KYC due diligence checks and compliance matters... as required under SFC and/or other regulators Develop, implement and maintain a robust compliance framework to ensure controls are in place...
(SARs) in accordance with regulatory requirements Collaborate with internal teams (e.g., Compliance, Risk, Operations...Your new role Assist the Head of Compliance and MLRO in conducting money laundering investigations by analysing...
by advising on regulatory requirements and helping to ensure robust compliance practices. You will work closely with colleagues... on Syndicate coverage and/or Cash Equities. Assist in assessing regulatory and compliance risks in existing and new business...
on statutory, regulatory and internal requirements on AML/CFT and/or sanctions related matters to all relevant parties on a timely... basis. Assist in executing AML/CFT and sanctions compliance initiatives, including reviews, testing, and training delivery...