CONSULTANCY – REGULATORY COMPLIANCE recruitment
ResponsibilitiesAs part of a team of professionals, provide advisory services to clients on the development and implementation of risk management policies, systems and controls, and regulatory issuesReview risk management policies and procedures against Hong Kong/China regulatory requirements and against the best international practices; identify opportunities for enhancement; assist clients in developing an implementation strategy and in resolving implementation issuesAssist clients in understanding and meeting regulatory requirements, including responding to the findings of regulatory examinationsMaintain Read more […]
Compliance Business Analyst II recruitment
The Legal and Compliance Department of JPMorgan Chase Co is responsible for the provision of legal and compliance services to the Corporation. The department also includes the Office of the Secretary. Legal and Compliance is organized by Practice Groups that conform to the organization of the Firm’s lines of business (LOBs) and corporate staff areas, allowing the legal and compliance staff to work closely with specific groups on a daily basis. Each line of business has an LOB General Counsel, who is the Practice Group Head and who reports to the Firm’s General Counsel. This structure provides Read more […]
Senior Legal Counsel recruitment
Responsibilities:• Handling general corporate and commercial legal matters, such as JV projects, merger acquisition deals, restructuring, regulatory compliance and related matters• Overseeing, drafting and reviewing all legal and corporate documents.• Liaising with internal departments and manage external counsels and professional firms• Providing legal advice in business operations and projects• Handling ad-hoc projects assigned by the managementRequirements:• University degree in Legal (LLB) or any related discipline• At least 5 years of relevant experience in international Read more […]
VP, Compliance Team Head, Securities (60-70k/mth) recruitment
The Company A stable and growing financial group, with SFC type 1, 2, 4, 7, 9 licenses, to manage a small team of compliance professionals. The Role As VP of a Compliance Team, you will be reporting to Head of Compliance of the company, responsible for conducting regular compliance review and checking, staff dealing, individual and corporate licensing, liaising with local regulators (SFC), implementation of compliance programs to ensure operations are compile to statutory and regulatory requirements.Your Profile The successful candidate will be a degree holder in Law or Accounting, with professional Read more […]
Compliance Manager/Officer recruitment
A top securities house is looking for a compliance manager to be based in hong Kong. We are targeting individuals from audit firms, brokerage, regulatory authorities, investment banks with between 3-7 years of experience to be based in Hong Kong. Role: -Management of SFC HKEx Licensing compliance -Ensure compliance with the firms policies by all the firm employees -Conduct AML review and control including KYC, due diligence, and identification of suspicious activities. -Trade monitoring of firm employees, including reviews of errors This role is an exciting opportunity with a top securities house Read more […]
Compliance Manager, Monitoring & Surveillance recruitment
If you have the following skills and experience then this may be a great opportunity for you to join a reputable brand in financial services:At least 4-7 years of Compliance experience within a financial institution, regulatory body and/or comparable environment. Good knowledge of the local market and local language skills e.g. Mandarin and/or Cantonese.Good working knowledge of banking and securities laws, regulations, directives and regulatory expectationsThe ability to balance commercial objectives with legal, regulatory and ethical considerations and provide compelling solutionsThis primary Read more […]
Compliance Analyst – Hong Kong recruitment
Reporting directly to the Head of Legal and Compliance HK, the successful candidate will be responsible for managing compliance and regulatory issues relating to the Company across Hong Kong, China and a number of Asia Pacific Regions.Candidates must be educated to degree level, have considerable experience working within a similar role in multinational financial institutions (preferably asset management and/or hedge funds), and have excellent spoken and written English and Chinese (Cantonese/Mandarin).They must also be able to demonstrate a solid understanding of the following areas:• Licensing Read more […]
Snr Compliance Manager – research – brokerage – Securities Firm recruitment
Duties: Provide support to the business on regulatory compliance matters, raising issues to Senior Management and implementing corrective action plans, in particular to brokerage and investment banking businesses;Participate in new product development and ensure that new products conform to regulatory and internal compliance policies;Monitor new account opening procedure KYC review;Review policies and procedures prepared by other departments and provide input to ensure compliance with applicable legal and regulatory requirements;Advise management and business units on all compliance-related Read more […]
Officer, Litigation Paralegal, Legal Compliance and Regulatory Relations recruitment
OverviewBank of America is one of the world’s largest financial institutions, serving individual consumers, small and middle market businesses and large corporations with a full range of banking, investing, asset management and other financial and risk-management products and services. The company provides unmatched convenience in the United States, serving more than 59 million consumer and small business relationships with more than 6,100 retail banking offices, nearly 18,700 ATMs and award-winning online banking with nearly 29 million active users. Following the acquisition of Merrill Lynch on Read more […]
AML & Sanctions Regulatory Readiness recruitment
You will lead assist the business and its employees to comply with all relevant AML /CTF Sanctions requirements in the Asia sub-businesses; including Australia, NZ, Japan, Hong Kong, India and other parts of Greater China. The ideal candidate will have:7 – 12 Years in AML in a globally regulated Financial Institution preferably by UK, FSA or US Federal Reserve Experience in a regional AML leadership role Project Management skills; ACAMS Certification is required Prior experience as liaison for a Regulatory audit preferred Ability to read/speak Asian languages such as Chinese, JapaneseThe prime Read more […]