, 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... with clients during periodic reviews to resolve screening issues and escalate exceptions to AML or Compliance when necessary...
We are currently seeking a high calibre professional to join our team as a Programme Manager. The Programme Manager... will be accountable for the end to end management and delivery of 'change' for key Securities Services clients in Asset Owner & Management...
investors. We are currently seeking a high caliber professional to join our team as Securities Business Development Manager... to customers who look for regular coupon payment. Besides, we have securities services covering exchange traded equities in local...
investors. We are currently seeking a high caliber professional to join our team as Securities Business Development Manager... to customers who look for regular coupon payment. Besides, we have securities services covering exchange traded equities in local...
Responsibilities: Advise department heads and relevant business units on compliance-related matters Stay abreast... of the latest legal and regulatory requirements, and develop company-wide compliance monitoring mechanisms Assist the team...
policies, internal controls, and operating manuals to ensure compliance with regulatory changes Support for individual.../FATCA or other tax reporting and compliance matters as required · Liaise with regulators, auditors, business and internal...
in legal & compliance roles in the banking, securities and/or insurance industries Macau working experience preferred... to Macau is required Candidate with less experience will be considered as Senior Manager Application...
departmental and firm-wide projects such as platform enhancement, reactivation reviews, and compliance initiatives (e.g., FATCA... fields Minimum of 5 years’ experience in securities industry, with at least 2 years in a supervisory role Preference...
services, including those of securities, insurance and funds, with a focus on commercial and retail banking as well as global... and performance; Ensure compliance with bank internal policies / guidelines and regulatory requirements. Job Requirements...
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...
, general ledger, bank reconciliations and group consolidation. Risk Management: Minimize financial risk, ensure compliance... systems, and financial audits. Compliance and Audit: Liaise with auditors, ensure regulatory compliance. Team Leadership...
services, including those of securities, insurance and funds, with a focus on commercial and retail banking as well as global... and develop human resources policies and procedures to ensure in compliance with statutory requirements Perform payroll...
looking for regular coupon payment. Furthermore, we provide securities services covering exchange traded equities in local and overseas... markets, offered through a wide variety of trading channels. Margin trading services covering FX and securities...
looking for regular coupon payment. Furthermore, we provide securities services covering exchange traded equities in local and overseas... markets, offered through a wide variety of trading channels. Margin trading services covering FX and securities...
-Margin financing control manager ensuring compliance with SFC Guidelines of Securities Margin Financing as well as the... billion. We have also been consecutively ranked as Taiwan’s best securities firm by Asiamoney, Euromoney and Finance Asia...
. Responsibilities 1. Act as the OMO MIC for the asset-management business and reporting to senior management. 2. Formulate... and product development. 5. Supervise all Asset Management activities to ensure full regulatory compliance. 6. Establish...
. As we continue to grow, we are seeking a talented Investment Analyst Manager to join our dynamic team and contribute to the success... analysis on global public markets including fixed income (bonds), equities, REITs, ETFs, and related securities Prepare...
of deposit to customers who look for regular coupon payment. Besides, we have securities services covering exchange traded... and securities, and investment financing service provides extra liquidity and purchasing power to cater for investment needs...
of deposit to customers who look for regular coupon payment. Besides, we have securities services covering exchange traded... and securities, and investment financing service provides extra liquidity and purchasing power to cater for investment needs...