Connecting...

Compliance jobs in Hong Kong

Found 16 jobs
    • Hong Kong
    • Posted 4 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 6 months ago

    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/problems and...

    • Hong Kong
    • Posted 20 days 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 2 months ago

    Job Responsibilities   To conduct review of account opening documentation in line with internal and regulatory customer due diligence requirements, to ensure the completeness and accuracy of the account documentation. To handle client data and document updates/account maintenance requests Perform on-going due diligence on existing customers Handle inquiries from sales teams in relation to customer due diligence related documentations or client...

    • Hong Kong
    • Posted 3 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 11 days 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 2 months ago

    Job Responsibilities   Reviewing Customer Due Diligence / account opening documents to ensure compliance with know-your-client and anti-money laundering requirements, both from the perspectives of local regulatory and internal group requirements for new account opening and periodic reviews. Performing AML related controls, e.g. reviewing and approving RM’s explanation of the transaction alerts and investigating the potential suspicious transac...

    • Hong Kong
    • Posted about 2 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 4 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 about 1 month 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 2 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 19 days 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 about 1 month 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 6 months ago

    Responsibilities:  Advise on AML and counter-terrorist financing (“CFT”) matters arising from day-to-day operations Investigate suspicious transactions reported by frontline staff or identified from the course of review of AML exception reports Report suspicious cases to the law enforcement agencies and/or regulators Conduct regular review and AML exception / MIS transaction monitoring reports and analysis transaction activity Perform AML risk...

    • Hong Kong
    • Posted 4 months ago

    Client: Our client is a reputable consulting firm with strong global presence. Due to continuous business growth, they are looking for a high caliber China Tax Manger to join their tax team.   Responsibilities: Manage various tax reporting and working paper for quarterly/year end tax provision process Prepare PRC corporate tax compliance matters Develop in depth knowledge of current and potential clients and being proactive in business develop...

    • Hong Kong
    • Posted 6 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...