Description :
Our client is a multi-cultural investment bank based in Southeast Asia with major activities of SFC RA 1, 4 & 6 in Hong Kong.
The group's business activities are primarily in the areas of Consumer Banking, Wholesale Banking, comprising Investment Banking and Corporate Banking, Treasury & Markets, and Group Strategy & Strategic Investments.
Requirement : :
Responsible for the legal, compliance and company secretarial functions of the company and its... Responsible for the formulation, development and maintenance of the firm wide compliance framework...
Department. Legal & ComplianceEmployment Type. PermanentRole & Key Responsibilities. Leading the legal, compliance, regulatory, and anti money laundering compliance functions of the Apex Group...
Equities L S Funds Management Role. Reporting to the CEO, your main task is to lead the compliance team... The compliance team will be responsible for dealing with regulatory authorities, reviewing. implementing...
Their major activities in Hong Kong involving SFC RA 1, 2, 4 & 6. The role. Report to CEO and supervise a team to effective the daily operation Oversee all legal and compliance related matters...
Responsibilities. Responsible for the legal, compliance and company secretarial functions of the company and its subsidiary company Responsible for the formulation, development and maintenance...
Act as a head of the function to take in charge of daily compliance requests internally and externally... Implement investment compliance monitoring from pre trade to post trade phases. Keep abreast with...
Key responsibilitiesTake responsibility for the organization's Compliance framework and lead a small team across multiple locations.Develop policies procedures, solutions and lead any...
Job Duties. Handle all compliance business related to SFC license In charge of the regulatory, AML and... Requirements. Bachelor degree holder 10. years compliance experience in securities firm...
The role. Familiar with all classic cocktail recipesEnsure SHHK service standards and ethos are. maintained at all times. Implement policies and systems as required under the guida...
Brokerage is currently looking for a Compliance Director for their wealth management business. This person will lead a team of 2 and report to the group head of compliance. Job Responsibilities...
Monitor internal service standard by conducting service quality assessments. Provide training. coaching sessions to ensure compliance with internal guidelines. regulatory standard and...
Job Description. Work closely with Division Head to formulate strategies for facilitating business... Monitor trades, documentation and selling procedures and ensure to meet compliance and regulatory...
Job Description. Work closely with Division Head to formulate strategies for facilitating business... Monitor trades, documentation and selling procedures and ensure to meet compliance and regulatory...
Ensure the team is in full compliance with the regulatory requirements as well as the internal... Adhere to all regulatory and internal fraud, compliance and AML policies requirements, and flag...
Fulfil individual as well as team KPI assigned by management, including trading income and other non trading Ensure all transactions comply with the rules and regulations, compliance, audit and...
Advise and support regional office and local BU investment, ALM risk Management and compliance teams... standards and guidelines are in line with regulation Assist the head in developing FCC monitoring tools...
Report to Regional Head of Compliance located in Singapore and supervise one direct report subordinate... relevant experience in Compliance function with solid exposure gained from multi national investment...
Our growth potential is high and we seek to recruit the best calibre people to augment this strategically important team.Key Functions and ResponsibilitiesReporting to the Head of Sales Asia...
Headquartered in London and Hong Kong, Prudential has been providing familiar, trusted financial... Background The Group Compliance function is led by the Group Head of Compliance (Group Compliance...
Prepare, code and review rules into the BBG system as needed.Conduct investment compliance trainings to... work closely with Middle Office, IT and Legal and support Regional Head of Trading on broker related...