Design compliance surveillance. monitoring programs and conduct compliance AML monitoring and reviews on products and business units under the VP's responsibility area. Handle ad hoc..
Report to General Counsel of Micro Connect Group and assist GC to look after group compliance matters Help group manage risks and avoid lawsuits by ensuring business operations are performed in..
Lead and plan regular independent control assessments to evaluate compliance with applicable.. Regional IT Risk and Compliance (AVP VP LOD 2). Prominent Investment Bank in the subject header..
What you'll do. Contribute to a compliance team to embed a customer focused culture. supporting the.. initiatives relating to alternatives investments, to assess potential compliance impacts and ensure new..
Required to have prior SFC regulatory working experiences. Very strong in wealth management product due diligence and compliance experiences. Fluent in Mandarin is a..
Serves as a function. business product compliance risk officer for Independent Compliance Risk.. Primary responsibilities include monitoring compliance risk behaviors and providing day to day..
Serves as a function. business product compliance risk officer for Independent Compliance Risk.. Primary responsibilities include monitoring compliance risk behaviors and providing day to day..
Main Responsibilities. Act as independent reviewer to conduct regular thematic compliance reviews on an.. Handle ad hoc Head Office requests and or reporting requirements (Compliance Review related..
Responsibilities Reporting toernance & Controls Head of Institutional Banking Group, to ensure staff are in fullpliance with internal AML risk andpliance policies. standards, exter..
VP. Compliance 2nd Level Control, Asia Pacific Permanent contract Hong Kong Compliance VP. Compliance.. Summary of the key purposes of the role Definition of an annual risk based Compliance control plan for..
Responsibilities. Develop and implement electronic tradingpliance policies and procedures. Monitor electronic trading activities to ensurepliance with regulatory requirements. Work..
Responsibilities. Act as independent reviewer to conduct regular thematicpliance reviews on an on going basis and ensure adherence to Regulatory Head Office requirements and intern..
Business FunctionGroup Legal, Compliance & Secretariat ensures that the bank's interests are protected.. compliance. legal or audit department of a bank, insurer or authorized. licensed financial institution..
The team You will be joining the compliance team which consists of 60 poeple. Your direct report will be your team head and you will be managing a team of 5. Responsibilities Performing trade..
About the jobTo provide compliance advisory to global markets business, with a focus on FICC desk To.. Candidates with more experience would be considered for VP levelKnowledge in global markets business and..
Position. Senior Financial Compliance Analyst. Job Description. What You'll Be Doing. Become the liaison.. Maintain current awareness and documentation of SOX compliance rules and regulations. Filing of..
Fluent in English, especially in writtenWilling to travel to Mainland 1 2 times per monthIndependent and ProactiveResponsibilities Maintain the Company Safety Management System Per..
ResponsibilitiesResponsible for warehouse RACSF operation procedures and documentation Perform daily RACSF and safety SOP procedures Handle RACSF documents & Monitor warehouse oper..
Senior Audit Manager. Audit Manager (Compliance). Banking Audit. (Job ID 4198) Responsibilities.. financial services with strong technical knowledge on compliance and AML CFT, and specific job title..
Key Responsibilities. Design, implement, and oversee a comprehensive compliance monitoring program.. 7 years of proven experience in investment compliance, ideally within a buy side, multi manager..
Scope of Responsibility. Acquire full range of product knowledge and continuous updates Keep learning of global investment market, especially private banking sector Analyze high ne..
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..
Private credit firm is looking for Associate to VP with. 5 7. years of experience for real estate coverage. Requirements. A desire to work within the alternative space in private credit in..
With experience in a complex global environment Knowledge of compliance and disclosure procedures Thorough understanding of HSBC's activities, products, processes and systems or or those of a..
Associate. Tax ComplianceOur client, a well established Offshore Fund Services Provider, is looking to hire an Associate for the Tax Compliance to provide a full suite of FATCA and CRS services..
Job Summary As a Vice President of the Private Bank Compliance team in Hong Kong, you will be working.. The Compliance team performs independent second line risk assessments, implements the compliance..