- 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 regulatory enquiries, surveys and inspections
- Implement compliance controls and tool to address gaps with global compliance framework
- Provide training for internal staffs
- 4+ years' experience in asset management compliance
- In-depth understanding in SFC type 1,4,9 rules and regulation
- Fluent Mandarin and English
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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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Compliance manager
12小时前
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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Compliance Manager
12小时前
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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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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Compliance Manager
12小时前
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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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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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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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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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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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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AXA Group Hong Kong, 香港 全职Manager, Corporate Compliance · Major Job Responsibilities: · The role supports Chief Compliance Officer to ensure the company's Personal Data Privacy Policy and the relevant control measures are in place to comply with the data privacy requirements of HK, Macau and China, and ...
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Dah Sing Bank Hong Kong, 香港Main Responsibilities: · To conduct selected CDD review, checking, acting as AML/CFT advisor for marketing staff and provide consultancy role on CDD handling; · The review includes but is not limited to the adherence to the internal policies for customer due diligence, the opera ...
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Prudential plc Hong Kong, 香港 全职Prudential's purpose is to be partners for every life and protectors for every future. Our purpose encourages everything we do by creating a culture in which diversity is celebrated and inclusion assured, for our people, customers, and partners. We provide a platform for our peop ...
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Eclipse Trading Hong Kong, 香港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 sever ...
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Randstad Hong Kong Central and Western District, 香港 全职about the company. · Our client is a prestigious global corporate banking institution. They offer a comprehensive range of banking services, including deposits, loans, receivables, securities, cash equivalents, debt investments, and more. The Bank is dedicated to serving enterpri ...
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Dah Sing Bank Hong Kong, 香港Job Purpose: · • 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 ...
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AML Compliance Manager
12小时前
The Bank of East Asia Hong Kong, 香港 全职Responsibilities · Review and comment on the Bank's manuals, policies and guidelines from an AML/CFT/Sanctions perspective · Perform AML/CFT/Sanctions functions on an on-going basis, including on-going monitoring, regular accounts/transactions review · Conduct process, control a ...
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Bank Of China (Hong Kong) Limited Hong Kong, 香港 全职Responsibilities:Act as first line of defense to conduct AML and investment/banking related transaction monitoring and business review to ensure adherence to internal/external requirements, identify possible compliance/operational risks/breaches, prepare management report(s) and ...
Asset Management Compliance - Hong Kong, 香港 - Ashford Benjamin Ltd
描述
Responsibilities:
Requirements
