- Assist the superiors about formulating compliance standards, plans and objectives, streamline compliance processes and draw up compliance staffing and authorization system.
- Pay attention to the latest development of regulatory laws, regulations and rules, follow up the management systems of the Head Office and other relevant units, accurately grasp relevant themes and analyze their impacts on the Branch's operation.
- Revise the systems and processes accordingly as well as provide suggestions on compliance for the Branch Management
- Assist the superiors about identifying and managing the Branch's compliance and operational risks,conduct compliance evaluation and investigation on all of the Branch's businesses and submit evaluation reports to the Branch Management
- Prepare the reporting to and communication with the Head Office in regard to compliance, and keep close contact with HKMA, SFC and other local regulators. Assist in the Branch's communication with SAFE, CBRC, People's Bank of China and other institutions if necessary
- Bachelor or above degree, Major in Finance, Economics, Law or relevant professionals
- Minimum 1-year relevant working experience, with necessary knowledge about financial markets products, overseas bond issuance, having Compliance experience or Operation /Risk Management experience is preferred
- Good command of English and Chinese, including Cantonese and Mandarin
- Good communication and problem-solving skills
- Good at Microsoft Office software applications
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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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Assistant / Compliance Manager (Hong Kong Branch) - Bank Of China (Hong Kong) Limited
描述
Bank of China limited first opened its branch office in Hong Kong in 1917. After the listing of BOC Hong Kong (Holdings) Limited, a subsidiary of the Bank, on the Hong Kong Stock Exchange in 2002, Bank of China maintained the branch in Hong Kong which continued to hold a full banking license granted under the Banking Ordinance (Cap. 155) and was registered as an authorized institution under the Banking Ordinance. Bank of China uses this branch primarily to conduct financial markets businesses, which include foreign-currency denominated debt security investment management, issuance of CDs (Certificates of Deposit)/MTN/senior debts, investment of on-shore RMB debt securities, bond underwriting and sales, asset management, off-shore RMB trading, and risk management of the above-mentioned businesses.Responsibilities:
此崗位將由中國銀行(香港分行)直接聘任
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Hong Kong的Assistant / Compliance Manager (Hong Kong Branch)从业者
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Leung Ting Duncan Lau
Property and Hospitality Management Professional