About the Role Support the Associate Director, Market Conduct Compliance to ensure that AIAHK & Macau.. Assist in support in Law Enforcement and Regulators' request. Compliance reporting and review in..
Our corporate culture also emphasizes compliance, risk awareness, integrity, execution and performance.. Job Responsibilities. Report to the Head of Compliance Perform pre post trade investment monitoring..
The SFC and HKEx, and listing companies Conducting AML KYC checking and other necessary investigations Formulate, review and update policies and procedures Preparing compliance training to staff..
Senior Compliance Manager Eclipse Trading is one of Asia's leading proprietary trading firms. Founded in.. We are seeking an experienced Senior Compliance Manager to oversee and manage the day to day operations..
Oversee the identification, assessment and management of key compliance risks across the region.. Provide support and guidance to country compliance teams. Build strong and effective relationships with..
Job Overview. Providing support to the General Counsel Office (legal, compliance and risk functions.. The candidate will play a crucial role in supporting the legal, compliance and risk teams by managing a..
Surveys, Vendor List, and Product Programs. Work with key stakeholders, such as Compliance, Financial.. Prior experience in handling compliance assurance assessment of code of banking practice, banking..
VP. Associate Director, AML Compliance. Equities. Securities Team Lead, Trade Surveillance & AML.. Design compliance surveillance. monitoring programs and conduct compliance AML monitoring and reviews on..
For this role, you are expected to have a minimum of 6 years of compliance experience and be currently.. review business activities and new initiatives to ensure compliance with regulatory requirements Keep..
Requirements. At least 8 years' experience in retail approval and risk compliance requirements Degree holder in business related disciplines Excellent communication and people management skills..
Responsibilities. Compliance. Ensure compliance with all applicable SFC regulations, rules, and.. Develop and implement policies, procedures, and controls to ensure ongoing compliance with regulatory..
About the team Financial Crime Compliance Section consists of the AML & Sanction Advisory Team, KYC.. Ensure the implementation and maintenance of a robust sanctions compliance program. Ensure the..
Team. Develop and maintain compliance strategies and implement effective compliance. programs that best.. A bachelor's degree or demonstrable industry experience. Experience working within a Compliance Advisory..
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..
Will be working along with head of legal Needs to have strong global markets (sales and trading) SFC compliance leadership experiences..
A leading US financial institution is looking for a regulatory compliance professional handling.. Requirements Minimum 3 years of experience in regulatory compliance within financial services industry..
Job Responsibilities. Facilitate and monitor compliance with the firm's Code of Conduct and other core.. Serve as the primary point of contact for general compliance inquiries from employees. Assist with..
Compliance Manager Senior Manager. Responsibilities. Compliance Policy and Procedures. Develop and.. Conduct internal audits and monitoring of business processes and operations to ensure compliance with..
Degree holder in Accounting. Business Administration Law, relevant business Degree Working experience in corporate compliance management or audit and control assurance or strategic business..
Compliance Monitoring. Stay up to date with regulatory requirements, industry best practices, and.. Collaborate with compliance officers to address any compliance gaps or issues and contribute to the..
The Regulatory Compliance Officer will support general business and regulatory compliance matters for.. The primary responsibilities include managing and administering the firm's compliance programme covering..
Be able to align with other banking compliance team's staff within the division if there is such.. The role primary is on AML CFT, but potentially touch on other general compliance matters related to the..
Responsibilities. Develop and execute a risk based annual compliance review plan, compliance review.. Conduct compliance reviews, monitor and report on compliance issues and trends. Conduct comprehensive..
Scope of Responsibilities. To design and implement compliance programs to address market conduct, meet.. Finance. Law Minimum 5 years or above experience in compliance from renowned life insurance companies or..
Sub service lines) within Tax include Business Tax Services, Global Compliance and Reporting, Human.. Manager, you'll make technical contributions to business tax compliance and tax advisory engagements..
Bachelor Degree holder or above, major in Business, Finance or related disciplines Minimum 4 years of solid banking experience Preferred exposure in Financial Crime Compliance. experience in..