Banking & Financial Services - Compliance & Legal jobs
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Compliance & Legal jobs
- Central and Western DistrictPermanentHK$17,000 - HK$20,000
This is an excellent opportunity for candidates who are looking for an admin/secretarial job in a friendly financial institution supporting the Compliance team.
- Private Bank
- Compliance Secretary
Our client is looking for a candidate with AML/ Financial Crime Compliance background with experience in training internal staffs.
- AML Compliance at I-bank
- Policies/ Training positon
- Work closely with Front Office to facilitate the collection of KYC documents before account opening.
- Conduct KYC for new client on-boarding with quantitative check and periodic KYC/CDD review on existing clients
- Attend to Front Office queries on COB and CDD issues.
- Prepare regular reports for Management review
- Great exposure to Private Banking KYC
- Temp to perm opportunities
Excellent opportunity to join AML / Financial crime compliance field as an assistant manager. Promising career path is provided and working with a varied and dynamic team
- Attractive remuneration package
- Promising career path
Be part of a growing asset management firm in Hong Kong as a compliance officer. Excellent opportunity to join the buy side field.
- Excellent career opportunities
- Small team working enviornment
Supporting the bank's everyday trading activities, you will be responsible for the following:
- Oversee, develop and maintain investment servicing projects in Asia
- Prepare the bank of any changes in regulatory reporting regulations
- Respond to compliance-related audit matters
- Monitor marketing materials, data privacy, conflict of interests and gift and entertainments etc.
- Conduct reviews on the bank's products, AML procedures, data privacy, outsourcing etc
- Prepare and host Compliance training for colleagues
- Great opportunity to oversee compliance projects in one of the largest global ba
- Build strong relationships with different departments via compliance trainings
Reporting to the Head of Formalities, you will be responsible for the following:
- In charge of a KYC project - reviewing client documentation
- Ensure client account documentations comply with internal compliance guidelines
- Maintaining client account information
- Provide operational support and work closely with Marketing team
- Engage in ad hoc projects
- Involve in exciting KYC project
- Steep learning curve
Managing Equity Compliance in the Asia-Pacific region, you will be responsible for the following:
- Reporting to the bank's stakeholders to advice on regulatory compliance issues of Delta 1 market products on Stock Borrowing, Lending and Prime Brokerage, Cash and Listed Derivatives business.
- Review new business initiatives from a regulatory perspective
- Identify and monitor risks and business practice including trade error reporting. Investigate irregular trading activities and document with surveillance team.
- Liaise with the bank's industry partners and regulators to ensure an open and constructive communication.
- Manage, develop and provide quality training to team members
- Challenging opportunity to oversee the Asia Pacific Region
- Report to major stakeholders on Equities Compliance in one of the largest banks