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Compliance / Regulatory jobs in Hong Kong

Found 36 jobs
    • Hong Kong
    • Posted 8 months ago

    Responsibilities: Conduct risk-based compliance reviews according to the Annual Compliance Review Plan. dentify and evaluate regulatory compliance risk and control issues and provide recommendations for improvement. Compile compliance review reports to highlight major regulatory compliance issues and risk implications. Conduct assigned special / ad-hoc reviews. Coordinate regulatory onsite and offsite examinations conducted by the regulators. ...

    • Hong Kong
    • Posted about 2 months ago

    Responsibilities   Prepare annual / interim financial disclosure, HKMA banking returns and Head Office reports Develop and implement internal control procedures in order to ensure data accuracy of financial disclosure and regulatory reporting Provide analysis and advice on new HKMA / Basel disclosure and regulatory reporting requirements Participate in related system projects and UAT testing Handle ad hoc projects to support department and man...

    • Hong Kong
    • Posted about 2 months ago

    Our business partner, a reputable professional service is looking for a Compliance Officer to join their business. This person must demonstrate self motivation, attention to detail, and strong analytical skills. Responsibilities: Investigate on accounting systems, control procedures, books, transactions and records to ensure compliance with the rules. Prepare comprehensive reports, quantifies the magnitude of the alleged issues/problems and hi...

    • Hong Kong
    • Posted 10 months ago

    Client: Our business partner, a reputable professional service is looking for a Compliance Accountant to join their business. This person must demonstrate self motivation, attention to detail, and strong analytical skills. Responsibilities: Investigate on accounting systems, control procedures, books, transactions and records to ensure compliance with the rules. Prepare comprehensive reports, quantifies the magnitude of the alleged issues/prob...

    • Hong Kong
    • Posted about 1 month ago

    An opportunity has arisen for a Compliance Officer/Conflicts Analyst to join the Compliance Department of a top-tier international law firm.   The successful candidate will provide support to different compliance issues, from conflict checking and advising on money laundering and sanctions.  Responsibilities include maintaining and updating, as well as advising on relevant compliance processes, policies, procedures and industry standards; revi...

    • Hong Kong
    • Posted 5 months ago

    Responsibilities:   Identify and rectify internal breaches/control weakness through ongoing review/monitoring of the control framework from group and local regulatory requirement perspective; Conduct regular reviews and surveillance on Compliance and controls framework, which cover the following and not limited to - investment selling practice (suitability), product due diligence, general compliance, ad-hoc thematic reviews; Prepare documentat...

    • Hong Kong
    • Posted 7 months ago

    Responsibilities: Perform Control Self-Assessment (CSA) to ensure divisions / departments are in compliance with applicable regulatory rules and requirements Maintain an effective CSA checking mechanism and review approach Prepare reports on issues / non-compliance identified in CSA checking Assist divisions / department to prepare Key Risk Indicators (KRI) reports based on data provided by divisions / departments Review gap analysis reports p...

    • Hong Kong
    • Posted 5 months ago

    One of the leaders in investment banking Candidates without in-house exp will also be considered 8PQE+ in financial services regulatory matters   Our client is one of the leaders in investment banking, providing comprehensive investment management solutions to customers around the world.  It is now offering a rare and exciting opportunity for an experienced regulatory/financial services litigation lawyer to join its Hong Kong office and to tak...

    • Hong Kong
    • Posted about 2 months ago

    Responsibilities   Provide guidance and lead engagements on KYC due diligence in new client onboarding and conducting periodic review Perform guidance and perform account activity review in conducting periodic review and ensure timely escalation of suspicious transactions to MLRO Interact with FO staff on KYC/CDD deficiency issues and request for supporting records in new client onboarding and conducting periodic review  Ensure local procedure...

    • Hong Kong
    • Posted about 2 months ago

    Responsibilities   Conduct and execute quality assurance controls AML monitoring and CIP review activities, including Client Onboarding, PR, Transaction Monitoring, Client Screening, STR Reviews etc Perform testing on transaction monitoring and CIP review activities in accordance with the regulatory requirements Assess the effectiveness of the compliance controls and relevant procedures, and to address the underlying risks and regulatory requi...

    • Hong Kong
    • Posted 5 months ago

    Responsibilities Handle SFC enquiries and S181, S182 & S183 investigations by the SFC, and investigations/ enquires from other authorities. Design compliance surveillance programs and conduct compliance monitoring/ reviews and ad-hoc investigations (including investigations of suspicious activities/ transactions). Report non-compliance issues noted and suggest remedy/ resolution and/or related compliance improvement plan. Liaise with business,...

    • Hong Kong
    • Posted 6 months ago

    Our client is a professional services powerhouse and is expanding its in-house legal function with the hire of an experienced anti-money laundering lawyer to join the growing team.   The anti-money laundering team is part of the wider legal team.  The successful candidate will be working as the AML subject-matter expert and will consult on broad ranging AML matters including AML guidelines and policy settings, AML training program development,...

    • Hong Kong
    • Posted 8 months ago

    Head up a small, cohesive compliance team Candidate ideally qualified to practice law or hold an LLM Knowledge of anti-bribery and corruption required   A Head of Compliance is sought by one of the world's leading luxury retailers.  Based in Hong Kong, the successful candidate will predominantly be responsible for overseeing all compliance matters in the Greater China region but will also provide technical and management expertise to support d...

    • Hong Kong
    • Posted 10 months ago

    Responsibilities:   Process credit applications and credit exception approval request, make sound credit judgements and exercise delegated credit authority to approve credit facilities by following company policies and fulfilling all regulatory requirements Liaise with PB business to work out a solution to clients Recommend and assign margin ratios to financial instruments Liaise with other teams on extraordinary credit facilities Draft and up...

    • Hong Kong
    • Posted 5 months ago

    I am looking for an individual to serve as Middle Office Analyst for my client, one of the largest investment management organisation in the world.   Key Responsibilities:                 Responsible for implementing investment convictions by authorizing complex investment orders from portfolio managers and research analysts within Funds or client segregated accounts Ensure all trade authorizations are in compliance with guidelines and regulat...

    • Hong Kong
    • Posted 7 months ago

    Our client is one of the world’s largest private companies and was ranked among the World’s Best Employers 2020 List.  It is now looking to hire an APAC Data Privacy Lead for its Hong Kong office.  The successful candidate will be responsible for supporting and implementing data protection compliance strategies across the region and advising on the related legal and compliance matters.    Responsibilities will include updating and implementing...

    • Hong Kong
    • Posted 5 months ago

    I am looking for an individual to serve as Middle Office Analyst for my client, a large American Asset Management in Hong Kong   Key Responsibilities:                  Responsible for implementing investment convictions by authorizing complex investment orders from portfolio managers and research analysts within Funds or client segregated accounts Ensure all trade authorizations are in compliance with guidelines and regulatory rules, tax and e...

    • Hong Kong
    • Posted 5 months ago

    I am looking for an individual to serve as Middle Office Senior Analyst for my client, one of the largest investment management organisation in the world.   Key Responsibilities:                 Responsible for implementing investment convictions by authorizing complex investment orders from portfolio managers and research analysts within Funds or client segregated accounts Ensure all trade authorizations are in compliance with guidelines and ...

    • Hong Kong
    • Posted about 2 months ago

    Responsibility: The person shall be the Regional Audit Director responsible for reviewing and evaluating the effectiveness of the Bank's operational, compliance, system and market risks control (including Treasury Operation risk), and providing the results of the review and recommendations to Management   Accountability: Develop audit programs for assigned audits based on risk assessment and audit schedule which include the review and evaluati...

    • Hong Kong
    • Posted 4 months ago

    I am looking for a strategic leader to serve and lead as Head of Operations for my client, a leading bank in Hong Kong   Key Responsibilities:               Oversee the Operations Department for the bank and set up a strategic operational plan which would be based on the bank’s business plans Regularly review operational processes to ensure that: (1) adequate controls are in place to minimize errors; (2) maximum efficiency is achieved by strea...

    • Hong Kong
    • Posted 8 months ago

    4-8 PQE Conveyancing experience Hong Kong qualified Solicitors Great work life balance   This is an excellent opportunity for Hong Kong qualified mid-level (around 4-8PQE) Conveyancing Solicitors looking to go in-house and broadening legal skills.   The successful candidate will work as Counsel and will be responsible for supporting a wide range of commercial litigation and dispute-resolution matters with some of which related to the property/...

    • Hong Kong
    • Posted 24 days ago

    This is an exciting opportunity for a Head of Legal role at a leading, large corporation. The successful candidate will work as a business partner and strategic advisor to the senior management and be responsible for leading the legal teams in Hong Kong and China.    The Head of Legal will be responsible for the delivery of high-quality legal advice and services throughout Hong Kong and China which includes providing legal support to all aspec...

    • Hong Kong
    • Posted about 1 month ago

    This is a rare opportunity for private practice lawyers to go in-house and be part of a sizable in-house legal team of a highly regarded and well-established Hong Kong based company.    The successful candidate will work as Legal Counsel with responsibilities of supporting on litigation and investigations matters and advice internal and external business stakeholders on the related legal risks.  He/she will assist in and execute strategies in ...

    • Hong Kong
    • Posted about 2 months ago

    Our client is a large financial technology company with strong capital resources, a leading market position and well-established reputation.  The company is employing over 400 staff in Hong Kong.     The company is now looking to invite a 5 to 10PQE lawyer to join its Hong Kong Legal Team.  Reporting to the Head of Legal, the successful candidate will be responsible for drafting and negotiating broad-ranging commercial agreements including IT ...

    • Hong Kong
    • Posted 2 months ago

    Our client is a fast-growing international top tier Fund House with global footprint.  With their rapid growth in business, they are currently looking for a dynamic Finance Manager to join their HK finance team.    Responsibilities:   Responsible for daily accounting functions including month end closing, monthly financial statements Handle tax and regulatory reports   Prepare budgeting and forecasting, analysis, reconciliation, tax and audit ...

    • Hong Kong
    • Posted 3 months ago

    I am looking for a strategic leader to serve and lead as Head of Digital Transformation for my client, a leading bank in Hong Kong. He/She will be responsible for leading a team to manage different digital technology projects for the business.   Key Responsibilities:               Lead the Digital Project Delivery Team and Usability & Quality Assurance Team to deliver the digital initiatives enhancing the customers’ digital journey. Collaborat...

    • Hong Kong
    • Posted 4 months ago

    Job Description Our client is a fast growing international asset management firm with global footprint.  With their rapid growth in business, they are currently looking for a dynamic Finance Manager to join their HK finance team.   Responsibilities: Responsible for daily accounting functions including month end closing, monthly financial statements, regulatory reports Handling management reporting and annual tax report Prepare budgeting and fo...

    • Hong Kong
    • Posted 5 months ago

    Our client is a fast growing international private equity firm with global footprint.  With their rapid growth in business, they are currently looking for a dynamic Management Accountant to join their HK finance team.    Responsibilities: Responsible for daily accounting functions including month end closing, monthly financial statements, maintain full set accounting records Handle tax and regulatory reports   Prepare budgeting and forecasting...

    • Hong Kong
    • Posted 6 months ago

    I am looking for an individual to serve as China QFII Operations lead for my client, a leading global multi strategy hedge fund.   He/She will manage the trade lifecycle of daily trading activities of all of firm’s activities in onshore China (Cash Equities, Index Futures, Commodity Futures, Convertible Bonds, Bonds and Cash Management).   Key Responsibilities:               Perform daily trade, position and cash reconciliations of all asset c...

    • Hong Kong
    • Posted 7 months ago

    I am looking for an individual to serve as Operations/Middle Office Specialist (China QFII) for my client, a leading global investment management firm.   He/She will manage the trade lifecycle of daily trading activities of all of firm’s activities in onshore China (Cash Equities, Index Futures, Commodity Futures, Convertible Bonds, Bonds and Cash Management).   Key Responsibilities:               Perform daily trade, position and cash reconci...

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