- Responsible for leading the Investment & Insurance Compliance to coordinate and follow up on the latest regulatory requirements and provide compliance related advice to business units.
- Take part in following up on regular requests and enquiries raised by HKMA or other regulators to ensure proper and timely submission
- Escalate compliance issues to senior management to ensure the risks of compliance are managed
- Coordinate and drive the gap analysis for new/revised SPMs and regulatory updates with impacts on bank operations
- Make sure the compliance awareness and compliance culture of the firm is up to standards and communication with the business and supporting unites are enhanced.
- Provide training on investment and compliance matters to related parties and business units when necessary
- Contribute to enhancement on the overall risk management of the firm
- 10 years + of working experience in regulatory compliance, preferably focusing on investment and insurance compliance
- Good knowledge of Investment and Insurance Products such as securities, funds and bonds
- Good knowledge of Banking rules and regulations including Banking Ordinance, Securities & Futures Ordinance & HKMA Supervisory Policy Manual
- Ability to set up meetings, articulate issues with clear communication and follow up with responsible parties
- Degree holder in Business, Finance, or related disciplines
- Proficiency in English and Cantonese, Mandarin is a plus
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Robert Walters Hong Kong Hong Kong, 香港 全职They are specifically looking for candidates with experience in alternative investments. · What you'll do: · Contribute to a compliance team to embed a customer-focused culture; supporting the asset management business to manage regulatory compliance risks, specifically in relati ...
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Sun Life Hong Kong, 香港 Temps pleinVous êtes unique, comme le sont votre parcours, votre expérience et votre façon de voir les choses. Ici, on vous encourage et on vous motive à donner le meilleur de vous-même, et on vous donne les moyens de le faire. Vous travaillerez avec des collègues dynamiques – experts dans ...
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Sun Life Hong Kong, 香港 全职Job Description · : Job Responsibilities · Support the Investment Manager Compliance Program functions and compliance programs would include the following: · 1. Compliance Program management; · 2. Compliance Manuals, Policies & Procedures; · 3. Monitoring & Testing; · 4. AML; · 5 ...
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Randstad Hong Kong Hong Kong, 香港 全职about the company. · Our client is an reputable retail bank with strong presences in APAC region. about the job. · Review new product proposals/product document, marketing materials, and identify compliance issues/concerns · Provide advice to different departments on compliance ...
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Sun Life Hong Kong, 香港 Temps pleinVous êtes unique, comme le sont votre parcours, votre expérience et votre façon de voir les choses. Ici, on vous encourage et on vous motive à donner le meilleur de vous-même, et on vous donne les moyens de le faire. Vous travaillerez avec des collègues dynamiques – experts dans ...
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One Paramount Recruitment Limited Hong Kong, 香港 全职Responsibilities: · Ensure investment compliance primarily with the use of the trading system · Code investment restrictions and guidelines into the trading system for pre-trade and post-trade compliance monitoring. · Flag, resolve and report both active and passive investment b ...
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One Paramount Recruitment Limited Hong Kong, 香港 全职Responsibilities: · Ensure investment compliance primarily with the use of the trading system · Code investment restrictions and guidelines into the trading system for pre-trade and post-trade compliance monitoring. · Flag, resolve and report both active and passive investment b ...
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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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DARMAX GLOBAL Hong Kong, 香港 全职Responsibilities: · - General compliance responsibilities i.e. investment compliance, regulatory reporting & control, marketing materials review, provide compliance advisory to business, licensing etc · - Conduct KYC/ AML reivew on clients/ vendors · - Liasie with regulatory bod ...
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Taikang Asset Management (Hong Kong) Co. Ltd. Hong Kong, 香港 全职Taikang Asset Management (Hong Kong) Co. Ltd., (hereafter as "Taikang Asset (HK) or "the Company"), is a wholly-owned subsidiary of Taikang Asset Management Co., Ltd. (hereafter as "Taikang AMC") was incorporated in Hong Kong in 2007, now holding SFC licenses Type 1 (Dealing in S ...
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The Bank of East Asia Hong Kong, 香港 全职Responsibilities · Assist Section Head of investment Products Management to drive retail investment revenue growth under Personal Banking Division ("PBD"), BEA Hong Kong ("BEAHK"). Support business and marketing activities on investment products (include Unit Trusts, Bonds, Struc ...
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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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Trinity Search Limited Hong Kong, 香港 全职Responsibilities: · Financial Planning and Analysis: Develop financial plans, analyze data, and provide strategic recommendations for improved performance. · Investment Management: Oversee the family office's investment portfolio, conduct research, and collaborate with advisors f ...
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One Arrow Consulting Hong Kong, 香港 全职Job Responsibilities: · Handle financial reporting for the asset management business, including PE funds, structured finance products, and stand-alone funds. · Prepare quarterly and yearly fund reports for assigned funds. · Coordinate the preparation of capital call and distribut ...
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Sales Support
2天前
One Paramount Recruitment Limited Hong Kong, 香港 全职Responsibilities · Support the institutional sales team to prepare marketing and sales materials, such as presentations, pitch books, and product literature · Conduct market analysis to identify new business opportunities and potential clients · Perform account opening for new cl ...
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AXA Investment Managers Hong Kong, 香港 全职At AXA Investment Managers our purpose, to act for human progress by investing for what matters, is central to every action we take as a business. As a responsible asset manager, we actively invest for the long-term to help our clients, our people and the world to prosper. · As ...
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Selby Jennings Hong Kong, 香港 全职Join the Risk Team of a Leading Hedge Fund in Hong Kong · Selby Jennings is currently collaborating with one of the fastest growing hedge funds based in Hong Kong. Our client seeks an experienced and motivated individual to join their growing fund. · Responsibilities: · - Investi ...
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PIMCO Hong Kong, 香港 全职PIMCO is a global leader in active fixed income with deep expertise across public and private markets. We invest our clients' capital across a range of fixed income and credit opportunities, leveraging our decades of experience navigating complex debt markets. Our flexible capita ...
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Omni Group Asia Ltd. Hong Kong, 香港 全职Responsibilities · Manage multi-asset investment portfolios. · Conduct research and due diligence to contribute investment ideas. · Support new fund setups to seize investment opportunities. · Analyze market trends, macroeconomic factors, and potential investment prospects. · Pro ...
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Type 4
2天前
HOPE Hong Kong, 香港 全职Responsibilities: · • Act as a Responsible Officer with management responsibilities and duties to supervise SFC regulated activities in Type 4 & 9 business in particular · • Responsible for strategies development, supervisory and implement the operations in asset management and f ...
VP - Insurance and Investment Compliance - Hong Kong, 香港 - TalentQuest HR Limited
描述
Key responsibilities
Key skills
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