- Ensure compliance with all applicable SFC regulations, rules, and guidelines.
- Develop and implement policies, procedures, and controls to ensure ongoing compliance with regulatory requirements.
- Monitor and assess changes in AML regulations and update internal policies and procedures accordingly
- Stay up-to-date with new and evolving regulatory requirements and ensure timely implementation of necessary changes.
- Act as the main point of contact for regulatory authorities and manage regulatory inspections, inquiries, and reporting requirements.
- Oversee and manage the external asset management function, including due diligence and selection of external managers.
- Report regularly to the senior management and board of directors on risk and compliance matters, including significant issues, emerging risks, and regulatory developments.
- Establish and maintain effective risk governance frameworks, including risk appetite statements, risk tolerance levels, and risk reporting structures
- Develop and implement risk mitigation strategies and action plans to minimize the likelihood or impact of identified risks.
- Collaborate with relevant stakeholders to ensure the effectiveness of risk controls and procedures.
- Conduct periodic risk assessments and compliance audits to identify and address any potential regulatory gaps or weaknesses.
- Prepare and present regular reports on the performance, achievements, and challenges of the assigned area to senior management and other relevant stakeholders.
- Maintain accurate and comprehensive documentation, including policies, procedures, and records related to the area's activities
- Minimum 5 years of experience in risk and compliance management within the financial services industry
- Prior experience working as a Manager in Charge (MIC) in a company regulated by the SFC under type 1, 4, or 9.
- Professional certifications (e.g., CFA, CPA, CAMS) in compliance or risk management are highly desirable.
- In-depth knowledge and understanding of SFC regulatory requirements and guidelines.
- Proven track record of developing and implementing effective compliance programs and risk management frameworks.
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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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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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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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Bank Of China (Hong Kong) Limited Hong Kong, 香港 全职ResponsibilitiesAct as first line of defense to review and advise business on control matters, conduct transaction monitoring and business review to ensure adherence to internal/external requirements, identify possible compliance/operational risks/breaches, prepare management rep ...
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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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Bank Of China (Hong Kong) Limited Hong Kong, 香港 全职Key Responsibilities:Assisting the team to prepare/review the company's risk management policies, anti-money laundering policies, compliance policies, procedures and work guidelines, and prepare staff training materials · Assisting the team to deal with daily operations, complian ...
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Société Générale Assurances Hong Kong, 香港 International Volunteer ProgramOperational and Compliance Risk Officer · International Volunteer Program|Hong Kong|Compliance Operational and Compliance Risk Officer · Hong Kong · International Volunteer Program · Compliance · Responsibilities · Société Générale is one of the leading European financial se ...
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Société Générale Assurances Hong Kong, 香港 Permanent contractCompliance Risk Review Specialist · Permanent contract|Hong Kong|Compliance Compliance Risk Review Specialist · Hong Kong, Hong Kong · Permanent contract · Compliance · Responsibilities · This is a VP role where the incumbent will have to independently manage the responsibil ...
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Société Générale Assurances Hong Kong, 香港 Permanent contractRegional Cyber Governance Risk and Compliance Officer · Permanent contract|Hong Kong|IT (Information Technology) Regional Cyber Governance Risk and Compliance Officer · Hong Kong, Hong Kong · Permanent contract · IT (Information Technology) · Responsibilities · The Regional ...
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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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Larson Maddox Hong Kong, 香港 全职Senior Manager of Legal and Compliance · Department: Legal and Compliance · Reports directly to CEO. · Summary: · We are seeking a highly skilled and experienced professional to join an insurance company. The successful candidate will be responsible for overseeing all legal and c ...
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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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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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AIA International Limited. Hong Kong, 香港 全职At AIA we've started an exciting movement to create a healthier, more sustainable future for everyone. · It's about finding new ways to not only better people's lives, but to better the communities and environments we live in. And we build on this every day with our ambition to ...
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China CITIC Bank International Limited Hong Kong, 香港 全职Key Accountabilities: · Facilitate the identification, assessment, measurement, mitigation and monitoring of operational risk in the assigned areas. · Conduct root cause analysis and benchmarking to recommend improvement of our control processes and business operating models. · ...
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China CITIC Bank International Limited Hong Kong, 香港 全职Key Accountabilities: · Facilitate the identification, assessment, measurement, mitigation and monitoring of operational risk in the assigned areas. · Conduct root cause analysis and benchmarking to recommend improvement of our control processes and business operating models. · ...
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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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Compliance Lead
4天前
TEKsystems Hong Kong Hong Kong, 香港 全职Our client, a leading international insurance company, is looking for an experience compliance lead to join their team in Hong Kong. This person will be running several risk and compliance initiatives across the APAC region, representing the Hong Kong market. · This candidate mu ...
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Senior Audit Manager
21小时前
Bank Of China (Hong Kong) Limited Hong Kong, 香港 全职Responsibilities: Lead and manage internal audit engagements in relation to Financial Crime Compliance (FCC) / Anti-Money Laundering (AML) and Counter-Terrorist Financing (CTF) in BOCHK Group and Southeast Asian subsidiaries/branches from planning, risk assessment, fieldwork to r ...
Manager/Senior Manager/Head of Risk and Compliance - Hong Kong, 香港 - Omni Group Asia Ltd.
描述
Responsibilities:
Compliance:
Risk Management:
Manager in Charge:
Requirements
Hong Kong的Manager/Senior Manager/Head of Risk and Compliance从业者
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Skhawat Ali
Physical Education Teacher