- Assisting the processing of all corporate licensing applications with the SFC, HKMA, Insurance Authority, HKEx and / or C&E (or other relevant regulatory agencies) from new clients (including the processing of the associated staff, directors, MICs, Responsible Officers and substantial shareholders) in Hong Kong under the supervision of the Associate Director, Licensing
- Assisting the processing of variations in corporate licensing applications for new and existing clients including but not limited to adding or removing licence types, uplifts of licensing conditions and changes in substantial shareholdings under the supervision of the Associate Director, Licensing
- Assisting with providing and amending compliance documentations to support corporate licensing applications
- Providing compliance and regulatory advisory services to clients in respect of licensing matters
- Meeting with prospective clients to gain an understanding of their proposed business activities
- Co-operating with other teams providing services including but not limited to ongoing compliance support, training, AML, and projects to ensure consistency of service to clients
- Staying up to date with new regulatory changes and developments to brief team members and clients on applicability
- Conducting research on regulatory updates and other related licensing matters
- Attending as far as possible corporate events when required by senior management and social events organized by the Group to assist with team building
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Ashford Benjamin Ltd Hong Kong, 香港 全职Responsibilities: · Provide regulatory advisor to APAC business and control function · Monitor relevant regulatory changes and development · Implement related policies and procedures · Support new business initiatives and ensure related rules and regulation are identified and fol ...
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Morgan McKinley Hong Kong, 香港 全职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 arm · Responsibilities · The selected candidate will assist on managing regulator ...
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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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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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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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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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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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IQ-EQ Hong Kong, 香港 全职Job DescriptionAssisting the processing of all corporate licensing applications with the SFC, HKMA, Insurance Authority, HKEx and / or C&E (or other relevant regulatory agencies) from new clients (including the processing of the associated staff, directors, MICs, Responsible Offi ...
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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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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 ...
Associate/ Senior Associate, Licensing, Regulatory Compliance - Hong Kong, 香港 - IQ-EQ
描述
Job Description
