- Minimum 3 years of experience in regulatory compliance within financial services industry, ideally in handling regulatory relations and coordinating regulatory exams
- Bachelor degree in a relevant discipline
- Fluency in English, Cantonese and Mandarin
- Familiar with HKMA and SFC rules
- Experience in supporting different businesses and control functions
- Immediate availability is preferred
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Randstad Hong Kong Hong Kong, 香港 全职about the company Our client is an expanding Crypto Exchange with a strong presence globally. about the job · You will monitor the changes and development on relevant new laws, rules and regulations in the APAC region · You will liaise with regulators and handle regulatory inqu ...
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Ashford Benjamin Ltd Hong Kong, 香港 全职Responsibilities: · Responsible for Hong Kong Regulatory Compliance matters · Act as regulatory advisor to securities, wealth management and asset management business and control function · Monitor relevant regulatory changes and development · Implement related policies and proce ...
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Corporation Service Company Hong Kong, 香港 全职Officer, Regulatory Compliance Services · Hong Kong · Mon - Fri, 9am - 6pm · Hybrid · The position · Our Regulatory and Compliance Services (RCS) ensure our clients to meet both their local and global regulatory needs and provide customized support to keep our clients informed ...
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Hong Kong Express Airways Limited Hong Kong, 香港 全职HK Express is Hong Kong's first and only low-cost carrier, always offering great value, affordable fares on one of the youngest and most modern aircraft fleets in the world. · Like you, and just like many people across Asia, we love to travel and discover new places across the wo ...
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Hang Seng Bank Limited Hong Kong, 香港 全职Job description · A Career with Hang Seng Bank · Hang Seng is committed to service excellence. Our people are our most important asset and play a vital role in our efforts to continually enhance our performance for customers and provide best-in-class products and services. We ...
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Unicorn Advisor (HK) Limited Hong Kong, 香港 全职Required to have prior SFC regulatory working experiences · Very strong in wealth management product due diligence and compliance experiences · Fluent in Mandarin is a MUST · ...
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HSBC Hong Kong, 香港 Permanent - 全职A Career with Hang Seng Bank · Hang Seng is committed to service excellence. Our people are our most important asset and play a vital role in our efforts to continually enhance our performance for customers and provide best-in-class products and services. We seek to attract hig ...
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Sia Partners Hong Kong, 香港Job description · We are currently looking for a Consultants with Financial Services background, having worked preferably within banking & financial services sectors. Our projects are geared around delivering on Risk & Regulatory topics across domains · Consultant - Hong Kong ( ...
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EY Hong Kong, 香港The opportunity · With the growth of private banking in Hong Kong, we are building on our existing strengths to drive further business growth and deliver greater benefit to our clients. We're looking for an experienced and confident private banking regulatory compliance risk exe ...
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EY Hong Kong, 香港The opportunity · Join our FSRM team and you will provide a highly integrated broad array of risk management services to capital market participants. FSRM products and services include suitability and product offering advice, front office controls, licensing, know your client, c ...
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Omni Group Asia Ltd. Hong Kong, 香港 全职Responsibilities · Responsible for regulatory compliance matters pertaining to insurance product offerings, sales, and distribution. · Develop and oversee robust compliance programs that effectively address market conduct, regulatory requirements, and internal policies. · Ensure ...
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X-Giants International Hong Kong Limited Hong Kong, 香港 全职Compliance Manager/Senior Manager · Responsibilities: · Compliance Policy and Procedures: Develop and update the company's compliance policies and procedures to ensure business activities comply with national and regional financial regulatory laws. · Regulatory Agency Communicati ...
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Noah International 諾亞國際 Hong Kong, 香港 全职Scope of Responsibilities: · To design and implement compliance programs to address market conduct, meet regulatory requirements and internal policies on sales compliance, conduct risk and personal data privacy · Providing compliance advice to business units to ensure business in ...
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Bank Of China (Hong Kong) Limited Hong Kong, 香港 全职Responsibilities:Provide advice to the business units regarding regulatory compliance issues on general banking products/ services (including deposit, loans, credit cards, fintech projects) and business propositions · Assist the business units in evaluating the risk involved in a ...
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AIA International Limited. Hong Kong, 香港 全职FIND YOUR 'BETTER' AT AIA · We don't simply believe in being 'The Best'. We believe in better - because there's no limit to how far 'better' can take us. · We believe in empowering every one of our people to find their 'better' - in the work they do, the career they build, the ...
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Bank Of China (Hong Kong) Limited Hong Kong, 香港 全职ResponsibilitiesAssist Team Head to manage a team to provide compliance advice and support for the Bank's general compliance and related matters, in particular to the Bank's middle and back office operations · Maintain, review and update internal policies and procedures, complian ...
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Compliance Manager
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Bank Of China (Hong Kong) Limited Hong Kong, 香港 全职Responsibilities: Provide advisory services to business units regarding regulatory compliance issues on investment or insurance products/ services · Participate and assist in regulatory compliance-related projects, initiatives and system launch / enhancement · Review policies ...
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Ashford Benjamin Ltd Hong Kong, 香港 全职Key Responsibilities · Be accountable for the APAC Markets Compliance program · Provide advice on regulatory interpretation and compliance issues in relation to global markets business · Handle APAC compliance issues, incident, and breaches in conjunction with various internal pa ...
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IBD Compliance
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Cornerstone Global Partners Hong Kong, 香港 全职Our client, a Top-tier PRC investment bank, is now looking for an IBD Compliance to join them. · Responsibilities: · Review, update and revise due diligence procedures for IPO, FA, IFA, M&A, ECM and DCM transactions to ensure compliance with regulatory requirements. · Provide com ...
Regulatory Compliance - Hong Kong, 香港 - Morgan McKinley
描述
A leading US financial institution is looking for a regulatory compliance professional handling regulatory requests and coordinating HKMA and SFC exams within banking to join their private banking armResponsibilities
The selected candidate will assist on managing regulatory relations and coordinating HKMA and SFC exams. They will also handle requests from external regulators, liaising with relevant internal parties to prepare responses and documentation. The chosen candidate will have the opportunity to partcipate in ad-hoc projects related to regulatory changes and new business initiatives.
Requirements
