- To assist Group Compliance Division in discharging the duties of ensuring the Bank's compliance with rules, regulations and guidelines issued by regulatory bodies on e.g. data privacy, deposit protection, Code of Banking Practice and technology risks etc.
- To assist Group Compliance Division in promoting bank wide compliance culture by promoting and delivering compliance mindset to internal business partners through policies and procedures setting, new business development, regulatory compliance briefing and training.
- To review and give advice on data privacy, deposit protection, Code of Banking Practice, technology risk and any other banking compliance related documents, workflow, procedures and guidelines.
- To conduct independent compliance reviews and assessments to ensure the effectiveness of policies and internal controls framework; identify, inspect, and report internal control weaknesses and recommend corrective actions or enhancements for implementation.
- To review marketing materials.
- To review the gap analyses and self-assessments completed by business units.
- To support compliance team in preparing materials for regulatory trainings.
- To handle day-to-day compliance related tasks as assigned.
- To perform ad hoc projects as assigned from time to time.
- Familiar with financial services related laws or regulation and operations
- Analytical minded, responsible, self-motivated, and meticulous.
- Team player and able to work independently
- Good communication and written skills in both English and Chinese.
- Proficient in MS Word, including Word, Excel and PowerPoint
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China Re Asset Management (Hong Kong) Company Limited Hong Kong, 香港 全职Job Description 崗位描述 · 根據香港證監會要求,持續落實公司合規相關工作,識別和評估相關合規風險,確保公司業務符合香港監管要求; · 協助公司牌照和個人牌照的申請(即負責人員及代表); · 安排持續的專業培訓課程,並保持CPT記錄; · 定期審查和更新客戶接受政策和客戶識別程式; · 執行KYC盡職調查,並形成風險分析; · 定期向總部草擬合規報告; · 使用最新的監管規則和指南更新內部合規手冊; · 配合部門主管完成合規相關工作; · 完成領導交辦的其他工作。 · Requirement 崗位要求 · 法律、會計、金融專業本科及以上學 ...
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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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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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Larson Maddox Hong Kong, 香港 全职Compliance Manager - Chinese Securities · Responsibilities: · Reporting to Head of Compliance · Provide compliance advisory on FICC products within a Chinese security house or retail brokerage. · Ensure adherence to regulatory requirements and guidelines. · Develop and update com ...
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Bank Of China (Hong Kong) Limited Hong Kong, 香港 全职Responsibilities: Provide advisory services to business units (including retail banking, corporate banking and global markets) regarding regulatory compliance issues on new products/ services and business propositions · Participate and assist in regulatory compliance-related pro ...
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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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Rapyd Hong Kong, 香港 全职Responsibilities · : Take a leadership role in shaping, implementing, and refining our organization's compliance program to align with regulatory mandates and company objectives. · Maintain an in-depth understanding of industry regulations, laws, and standards, providing expert ...
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The Bank of East Asia Hong Kong, 香港 全职Responsibilities · Prepare annual compliance review plan · Conduct compliance reviews and self-assessments · Prepare regular management reports on compliance updates and issues · Provide recommendations to strengthen the Bank's control framework and follow up the implementation ...
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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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Zurich Insurance Company Hong Kong, 香港Assist the Head of Compliance to promote ethical and proper business practices. Support in development, implementation and monitoring of compliance programs and training. Provide compliance advice to business units. And assist in counseling the business on matters of risk affecti ...
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Zurich Insurance Company Ltd. HongKong, 香港Assist the Head of Compliance to promote ethical and proper business practices. Support in development, implementation and monitoring of compliance programs and training. Provide compliance advice to business units. And assist in counseling the business on matters of risk affecti ...
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Ashford Benjamin Ltd Hong Kong, 香港 全职Responsibilities: · Responsible for compliance program, policies and procedures · Identify, monitor, and communicate regulatory changes trends and proposals to senior management · Review marketing materials and products, · Liaise with securities regulators and preparing regulato ...
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Bank Of China (Hong Kong) Limited Hong Kong, 香港 全职Responsibilities:Formulate and update compliance risk and KYC policies and procedures in light of the latest regulatory requirements and market practices · Provide advice to frontline and other relevant units on compliance risk and KYC related matters · Conduct and improve transa ...
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Interfill Group Hong Kong, 香港 全职My client is a small-sized, stable Foreign bank branch in Hong Kong. They are now looking for a new Compliance Lead to lead the compliance department and support all-rounded compliance duties, including regulatory/general compliance and AML related duties. · Key Responsibilities: ...
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Eclipse Trading Hong Kong, 香港 全职Senior Compliance Manager · Eclipse Trading is one of Asia's leading proprietary trading firms. Founded in 2007, we have over 120 employees across three office locations – Hong Kong (our HQ), Sydney, and Shanghai. Our trading expertise and strategies are deployed across several A ...
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Dah Sing Financial Group Hong Kong, 香港 全职About Dah Sing Group · The Dah Sing Group is a leading financial services group in Hong Kong offering banking, insurance, financial and other related services through its growing network of over 70 branches in Hong Kong, Macau and Mainland China. · Our currency is caring, teamw ...
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The Bank of East Asia Hong Kong, 香港 全职Ri · Responsibilities · Monitor the compliance matters related to the operations of pension and trust businesses · Ensure the relevant legislation, rules and guidelines are complied with all applicable regulations, rules, codes, guidelines and standards set by regulators and 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 ...
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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 ...
Assistant Manager, Compliance - Hong Kong, 香港 - Dah Sing Financial Group
描述
About Dah Sing GroupThe Dah Sing Group is a leading financial services group in Hong Kong offering banking, insurance, financial and other related services through its growing network of over 70 branches in Hong Kong, Macau and Mainland China.
Our currency is caring, teamwork and progressiveness. We accept that everyone is unique and different in talent, but alike in the capacity for growth.Our task is to shape a culture that creates a sense of pride in achieving something beyond just a job, and an environment where you can be your true and authentic self, like at home.
Job Purpose:
Main Responsibilities:
Requirements:
Experience
A minimum of 3 years' hands on experience in financial services industry preferably with compliance monitoring and testing or audit experiences in banking industry
Education
Degree holder, preferably in Laws, Finance, Banking or possess related professional qualifications
Functional/ Technical Requirements
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Hong Kong的Assistant Manager, Compliance从业者
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Leung Ting Duncan Lau
Property and Hospitality Management Professional