Vice President, HK Compliance recruitment
JOB PURPOSE · To manage compliance risk for the HK market by providing advice, training, and managing relationships with regulators. KEY RESPONSIBILITIES Advisory · Provide compliance and regulatory advisory on an ongoing basis, covering all businesses in Hong Kong. Primary coverage: TSS, Commercial Banking, Private Banking, Credit Rates, CIO, GSOG. Secondary Coverage: Equities EDG, FO, Investment Banking Capital Markets Business · Expert on HK regulations and provide advice to business, support functions and other core compliance team on existing and new regulations with more focus on Read more […]
Banking & Finance 2-5 PQE recruitment
A Leading Law Firm and Practice GroupDynamic Expanding TeamExciting And Interesting InstructionsOur client is acknowledged as one of the world’s leading legal practices with an outstanding reputation in banking finance. The Greater China Banking Finance Group consists of one partner, four associates and 1 trainee, with further support from the South East Asia Banking Finance Group. A full service banking and finance practice advising leading financial institutions and corporates on a broad range of debt, structured finance and restructuring transactions, acting for both borrowers and lenders. Read more […]
VP, Equities Derivatives Compliance (8-10 yrs pqe) Hong Kong recruitment
You will work on new business initiatives, compliance policies and procedures, desk reviews and liase with regulatory officials. In-depth knowledge of regulatory and compliance requirements, especially those related to equities derivatives activities, gained at a leading financial institution is needed. Ability to speak Mandarin and read Chinese is a must. Ref: 10429/EFLearn more about this position now or apply today by contacting Hughes-Castell:+Call: +852 2520-1168+E-mail: hughes@hughes-castell.com.hk+Find the latest new jobs: http://www.hughes-castell.com.hk/ Read more […]
Compliance Manager, Asia Pacific recruitment
– To monitor the compliance risk of the Bank’s overseas offices- To analyze and assess the potential impact of relevant laws and regulations as well as industry’s best practices in the overseas offices- To review regular and other ad-hoc reports from overseas offices to identify potential compliance issues- To review and comment on compliance policies and guidelines – To give compliance advice and resolve ad-hoc compliance issuesRequirements:- University graduate in business or related disciplines- Minimum of 5 years’ experience in compliance/audit/regulatory work. Candidate with overseas Read more […]
AVP, TSS Compliance Manager — TSS Compliance Testing recruitment
BUSINESS DESCRIPTION The office of the General Counsel (“OGC”) at J.P. Morgan (“JPM”) includes Legal and Compliance professionals who support the firm’s various lines of business. Treasury Security Services (“TSS”) Compliance supports the Treasury Securities Services business globally. TSS is a dynamic operating business that processes payments and securities and helps institutional investors to leverage their assets. ROLE DESCRIPTION The TSS Compliance testing team is responsible for the execution and management of the TSS Compliance testing program globally. The team engages and partners closely Read more […]
VP Compliance recruitment
Key Responsibilities:*Provide compliance advice and support to the Private Banking and Institutional Asset Management business lines.*Draft and implement compliance policies and procedures in accordance with HK legal and regulatory requirements.*Conduct KYC and AML transaction monitoring in respect of private banking clients*Manage licence applications to SFC and/or HKMA.*Set up and monitor investment suitability framework for private banking clients. *Perform compliance checking and review / monitor investment restrictions in respect of funds under management.*Assist in reviewing of marketing Read more […]
Temporary Compliance Officer (1-year contract) (Ref : SEGL/CPL-P567) recruitment
Main responsibilities• Licensing: responsible for exam enrolment, staff’s registration and maintaining / updating licensed individuals’ records, process license applications, follow up licensed staff’s CPT and annual return status• Personal Account Dealing/Outside Directorship Reporting: record keeping and documentation• Co-ordinate and prepare Compliance trainings• Assist in review of Marketing materials, disclaimers• Assist in performing compliance monitoring• Maintain and update regulatory information, rules and requirements• Provide general administrative and clerical Read more […]
Senior Legal Counsel – International Bank recruitment
The primary mandate of the role is to work closely with regional business lines on all matters relating to legal and documentation risk and provide legal advice, structuring expertise and execution assistance.Additional responsibilities will include: • Drafting and reviewing of facility letters, loan agreements and security documentation for all business areas • Reviewing of custody, brokerage and business infrastructure agreements etc for all areas of the organisation • Reviewing of confidentiality agreements, term sheets and mandate letters for Investment Banking and Global Markets Read more […]
Asia Head of Corporate Development recruitment
Hong KongGlobal professional services firm at a pivotal point of growth in AsiaNew position focused on corporate strategyTheir Asian operation is at a pivotal point of growth and as a result have a need for a dynamic executive to join the team to drive strategic corporate initiatives.The role will report directly to the Head of the Asia region and to the UK corporate development team. As a new function, it will initially be stand-alone until the business demands you build a team. Working alongside the management team, you will support the formulation of strategies for the mid and long-term plans Read more […]
Head of Compliance, Hong Kong recruitment
Responsibilities: Supervise/Provide compliance advice to senior management/business on new product launches(HK,SICAV,US,Korean,Singapore,TW,Malaysian,Chilean,ETF,alternatives)/projects/geographical expansionsSupervise/ensure the firm is in compliance with HK SFC/US SEC regulationsRegistered as Chief Compliance Officer for the Hong Kong office with US SECCompliance Representative under India SEBIApproved Person with SFC for SICAV / ETF funds, Complaint Officer with SFC for the HK office, Money Laundering Reporting Officer/emergency contact person with SFCProvide compliance advice to senior management Read more […]