, but are not limited to) The Compliance Officer reports to the Compliance Manager by monitoring and reporting results of the compliance.../ethics issues and providing guidance for the senior management team on matters relating to compliance. The Compliance...
Job Description: The Company Our client, a leading Chinese securities firm, is seeking a highly experienced... expectations. Perform risk and regulatory classifications of existing clients in line with internal policies. Engage directly...
gate of the project Understanding of regulatory and compliance environment and requirements Control, manage and report...We are currently seeking a high calibre professional to join our team as a Programme Manager. The Programme Manager...
investors. We are currently seeking a high caliber professional to join our team as Securities Business Development Manager... assessment, and regulatory compliance Assist in managing product lifecycle, including new product initiatives, enhancements...
investors. We are currently seeking a high caliber professional to join our team as Securities Business Development Manager... assessment, and regulatory compliance Assist in managing product lifecycle, including new product initiatives, enhancements...
of the latest legal and regulatory requirements, and develop company-wide compliance monitoring mechanisms Assist the team.../business units to ensure compliance with applicable internal, legal, and regulatory requirements Managing regulatory audit...
policies, internal controls, and operating manuals to ensure compliance with regulatory changes Support for individual..., securities house, or bank With expertise in various ordinances and regulatory frameworks, including the SFC Ordinance...
and government authorities on matters relating to the group companies businesses and regulatory matters Foster a strong compliance... culture within the Group and ensure that business operations uphold high compliance standards Keep abreast of regulatory...
departmental and firm-wide projects such as platform enhancement, reactivation reviews, and compliance initiatives (e.g., FATCA..., CRS, AML). Communicate regulatory updates, new services, and operational changes to Account Executives (AEs) Foster...
and performance; Ensure compliance with bank internal policies / guidelines and regulatory requirements. Job Requirements... services, including those of securities, insurance and funds, with a focus on commercial and retail banking as well as global...
of integrated services, including banking, securities investment, insurance consultancy, and wealth management... operations of finance and accounting functions, ensuring accuracy, efficiency, and compliance across financial processes...
systems, and financial audits. Compliance and Audit: Liaise with auditors, ensure regulatory compliance. Team Leadership... analysis. Regulatory Compliance & Corporate Governance: Ensure compliance with SFC rules, Hong Kong Companies Ordinance, AML...
and product development. 5. Supervise all Asset Management activities to ensure full regulatory compliance. 6. Establish.... Responsibilities 1. Act as the OMO MIC for the asset-management business and reporting to senior management. 2. Formulate...
to enhance efficiency, transparency, and decision quality Ensure compliance with investment policies, regulatory requirements.... As we continue to grow, we are seeking a talented Investment Analyst Manager to join our dynamic team and contribute to the success...
of integrated services, including banking, securities investment, insurance consultancy, and wealth management...'s compliance and risk management culture Conduct comprehensive market surveillance of FX & Commodities sales activities related...
Companies Ordinance, Hong Kong Listing Rules, Securities and Futures Ordinance, and other statutory and regulatory requirements... and other disclosure documentation Provide quality corporate governance support to senior management, and assist in tasks and ad-hoc...