about the company.
...general compliance analyst, investment bank.
- hong kong
- posted 1 august 2023
- closes 29 september 2023
key responsibilities
Assist in all SFC licensing matters; including corporate license related issue, Sponsor Principal, RO license application and renewal, arrange MIC appointment etc
Review and update internal policies and procedures to ensure compliance with latest regulations
Assist in handling regulatory requests and enquiries, survey, inspection etc
Assist in global initiatives, including compliance system implementation and upgrade, change in group policies etc
Monitoring trading activitiesskills
Compliance, general compliance, licensing, monitoring, securities, investment bankingqualifications
Degree holder
1-3 years compliance experience, knowledge in licensing would be an advantage
Experience in securities firm/investment bank would be preferred
Good command in Chinese and Englisheducation
Bachelor Degree
the application process.
See what comes ahead in the application process. Find out how we help you land that job.
get in touch
we are here to help you with your questions.
JL
related jobs.
see all jobs- about the company.A reputable investment bank is now hiring an IT Audit - AVP for their team in Hong Kong. As a valued member, you will contribute to the Bank by performing IT audit projects, investigating into their IT systems, cloud technology, cybersecurity etc across the globe. IT audit is a highly respected function in the Bank. They foster integrated audit approach where you will have the opportunity to explore business audit while IT audit being yabout the company.A reputable investment bank is now hiring an IT Audit - AVP for their team in Hong Kong. As a valued member, you will contribute to the Bank by performing IT audit projects, investigating into their IT systems, cloud technology, cybersecurity etc across the globe. IT audit is a highly respected function in the Bank. They foster integrated audit approach where you will have the opportunity to explore business audit while IT audit being y
- about the team. Join this multinational team with heavy emphasis of team work and stable career progression. Rich cultural dynamics and opportunity to work with regional offices. Client facing and quality suggestions on business strategies will be expected to help the team move forward.about the job. As an influential member of the team, you will maintain clientele portfolio in South East Asia, Oceania and India regions:-Prepare comprehensive and well-struabout the team. Join this multinational team with heavy emphasis of team work and stable career progression. Rich cultural dynamics and opportunity to work with regional offices. Client facing and quality suggestions on business strategies will be expected to help the team move forward.about the job. As an influential member of the team, you will maintain clientele portfolio in South East Asia, Oceania and India regions:-Prepare comprehensive and well-stru
- about the company.Our client is a prominent global compliance advisory firm with offices in New York, Chicago, San Francisco, Miami, London, and Hong Kong. They have earned a strong reputation as a market leader by providing comprehensive services to clients operating in various jurisdictions. about the team.As part of your new role, you will have the opportunity to join a team of nine members who possess extensive experience in compliance and a strong legabout the company.Our client is a prominent global compliance advisory firm with offices in New York, Chicago, San Francisco, Miami, London, and Hong Kong. They have earned a strong reputation as a market leader by providing comprehensive services to clients operating in various jurisdictions. about the team.As part of your new role, you will have the opportunity to join a team of nine members who possess extensive experience in compliance and a strong leg
