- Handle SFC licensing matters including but not limited to delisting or relisting applications;
- Perform compliance control and monitoring programs including but not limited to control room, AML checking, and trade surveillance;
- Handle the third-party and VIL deposit and withdrawal applications of the business units and perform the checking on the supporting documents and authorization relationships;
- Assist in handling investigations and surveys received from regulators;
- Handle other compliance matters / ad hoc matters assigned by the Legal & Compliance Department.
- Degree holder in Business Administration, Risk Management, Law or related disciplines.
- Possesses knowledge in SFC rules and regulatory requirements ;
- Minimum 3 years of compliance experience in financial institutions or professional services firms;
- Self-motivated, independent, meticulous, analytical and responsible;
- Strong organizational skills and ability to multi-task and work under pressure;
- Proficiency in written and spoken English and Chinese, and Fluency in Mandarin is preferred;
- Less experience will be considered as Compliance Officer.
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Bloomberg Hong Kong, 香港 全职Bloomberg's Legal & Compliance Department plays a critical role in supporting our businesses and operations around the world. We move quickly and thoughtfully to help address a variety of complex issues that come with being the world's leading financial news and information compa ...
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FortisHill Consulting Limited Hong Kong, 香港 全职Responsibilities: · General Compliance: · Assist in handling product compliance matters, including preparing relevant filings to regulatory authorities such as the SFC for UT Code changes, reviewing marketing materials for HK SFC authorized funds, SICAV, and PE funds. · Conduct g ...
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Danos Group Hong Kong, 香港 全职Responsibilities · • Partner closely with management and business units to interpret complex regulations · • Stay on top of regulatory requirements and communicate any changes to the management · team. · • Develop and maintain compliance strategies and implement effective compl ...
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Micro Connect (H.K.) Investments Limited Hong Kong, 香港 全职Report to General Counsel of Micro Connect Group and assist GC to look after group compliance matters · Help group manage risks and avoid lawsuits by ensuring business operations are performed in compliance with laws and local regulations · Develop company policies, create metric ...
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Bloomberg Hong Kong, 香港Compliance Officer - Regulatory Mapping, Hong Kong (6 month contract) · Hong Kong · Posted Apr 29, Requisition No · Bloomberg's Legal & Compliance Department plays a critical role in supporting our businesses and operations around the world. We move quickly and thoughtfully to ...
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iCapital Hong Kong, 香港 全职Responsibilities · Support the development of a compliance strategy and guidelines to support the firm's growth across APAC in a sustainable and compliant way. · Work closely with senior management, colleagues, regulators, and external partners & stakeholders to anticipate risks ...
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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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Aptitude Asia Hong Kong, 香港 全职Job Responsibilities: · Facilitate and monitor compliance with the firm's Code of Conduct and other core compliance policies. · Review employee disclosures, personal account dealings, and gifts and entertainment requests to identify potential conflicts of interest. · Serve as the ...
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Jane Street Hong Kong, 香港 全职About the Position · We are looking for an Advisory Compliance Officer to join our Hong Kong team. You will work closely with internal business groups to identify, advise, analyze and resolve regulatory reporting and compliance issues relating to Jane Street's Asian Business. Thi ...
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Zurich Insurance Company Hong Kong, 香港Job Responsibilities: · An excellent opportunity for gaining experience in compliance assurance activities. · Promote ethical and proper business practices via assurance review in various areas like dealing insecurity, anti-trust and fair competition, AML, data privacy, distribu ...
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Zurich Insurance Company Ltd. HongKong, 香港Job Responsibilities: · An excellent opportunity for gaining experience in compliance assurance activities. · Promote ethical and proper business practices via assurance review in various areas like dealing insecurity, anti-trust and fair competition, AML, data privacy, distribut ...
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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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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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Citi Hong Kong, 香港 全职Whether you're at the start of your career or looking to discover your next adventure, your story begins here. At Citi , you'll have the opportunity to expand your skills and make a difference at one of the world's most global banks. We're fully committed to supporting your grow ...
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Citi Hong Kong, 香港 全职The Compliance AML Execution Lead Analyst is senior professional responsible for performing risk and compliance reviews in coordination with the broader Anti-Money Laundering (AML) team. The overall objective is to utilize in-depth AML knowledge to review, analyze and conduct eff ...
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11062 Citibank, N.A. Hong Kong Hong Kong, 香港 全职The Compliance AML Execution Lead Analyst is senior professional responsible for performing risk and compliance reviews in coordination with the broader Anti-Money Laundering (AML) team. The overall objective is to utilize in-depth AML knowledge to review, analyze and conduct eff ...
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The Bank of East Asia Hong Kong, 香港 全职Responsibilities · Provide support to branch staff according to the regulated investment products sales process · Assist the planning and development of regulated investment products sales process for branches · Provide support on control and monitoring program related to risk & ...
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Citi Hong Kong, 香港 全职Whether you're at the start of your career or looking to discover your next adventure, your story begins here. At Citi , you'll have the opportunity to expand your skills and make a difference at one of the world's most global banks. We're fully committed to supporting your grow ...
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11062 Citibank, N.A. Hong Kong Hong Kong, 香港 全职The Compliance Product Senior Officer - SVP role sits within Citi's Independent Compliance Risk Management (ICRM) group based in Hong Kong. · The successful candidate will work as part of the CCB Product ICRM team helping to execute in their day-to-day activities, which typically ...
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Citi Hong Kong, 香港 全职The Compliance Product Senior Officer - SVP role sits within Citi's Independent Compliance Risk Management (ICRM) group based in Hong Kong. · The successful candidate will work as part of the CCB Product ICRM team helping to execute in their day-to-day activities, which typically ...
Senior Compliance Officer - Hong Kong, 香港 - Valuable Capital Limited
描述
Responsibilities:
Requirements:
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