requirements of the Code of conduct for Persons Licensed by or Registered with the Securities and Futures Commission; Provide high..., insurance, securities, trust and asset management sectors. Serving customers with whole-hearted, the Bank provides comprehensive...
") and The Securities & Futures Commission ("SFC") would be an added advantage. A strong sense of responsibility and impeccable...
Securities and Futures Commission of Hong Kong and the Hong Kong Monetary Authority, including managing regulatory inquiries...
and Futures Commission. It plays a pivotal role in its parent group's overseas investment strategy. The Hong Kong investment team... in Securities), Type 4 (Advising on Securities), and Type 9 (Asset Management) licenses issued by the Hong Kong Securities...
by being the Regulator's first point of contact for regulatory matters (i.e. Securities and Futures Commission (SFC)), keeping... in Securities (Type 1) and may be currently working, have worked, or work directly with the Securities and Futures Commission (SFC...
. Traditional Finance (TradFi) Sales & Trading: You come from a background in FX, Commodities, or Securities sales/trading at a bank...: Work closely with trading, custody, futures, and other internal teams to deliver seamless client solutions. Who...
Limited is authorised by the Securities and Futures Commission of Hong Kong to carry on Type 9 (Asset Management) business. #J... securities (equities, equity derivatives, bonds, convertibles, options, futures, and FX swaps). Manage algorithmic trading...
for each of our clients (over 1,000 clients), in accordance with several regulations and guidelines issued by the Securities & Futures... Commission (SFC) and Company Registries (CR). The Senior KYC Manager role operates within this division at a local level. It...
Authority (HKMA), Securities and Futures Commission (SFC), and other APAC regulatory requirements. Monitor regulatory...
and Futures Commission (SFC), Joint Financial Intelligence Unit (JFIU) and other law enforcement units on reasonable grounds...Responsibilities Conduct investigation on compliance and red flags, liaise and report suspicious case to Securities...
and underwriters. Liaise with regulators such as the Hong Kong Stock Exchange (HKEX) and the Securities and Futures Commission (SFC...
as the key liaison with regulatory bodies such as the Securities and Futures Commission (SFC), enhancing the compliance...
of experience in Fixed Income trading and hold Securities and Futures Commission licenses. This position offers attractive...
and Futures Commission. It plays a pivotal role in its parent group's overseas investment strategy. The Hong Kong investment team... in Securities), Type 4 (Advising on Securities), and Type 9 (Asset Management) licenses issued by the Hong Kong Securities...
with key regulators such as the Securities and Futures Commission (SFC), the Hong Kong Monetary Authority (HKMA), Hong Kong...
in SFC type licencing matters, ensuring timely applications, renewals, and ongoing compliance with Securities and Futures... Commission (SFC) regulations. Your new role Develop, implement, and monitor compliance policies and procedures across the...
and artificial intelligence technology. uSMART Securities (CE no. BJA907) is licensed under The Securities and Futures Ordinance...證券結合自身領先的人工智能和機器學習演算法为用户開發新一代移動證券交易APP (uSMART盈立智投)，進一步優化投資者買賣證券的體驗，為投資者爭取獲得更佳回報機會。 uSMART Securities is a new generation of Internet brokers in Hong Kong...
related to other banking products referred by the regulators (e.g. Hong Kong Monetary Authority, Securities and Futures... Commission and Insurance Authority etc.) Liaise with internal and external parties to conduct complaints investigation...
Hong Kong Securities and Futures Commission (SFC). Key Responsibilities Develop and implement detailed sales plans...