9 jobs found for Compliance Risk Governance

Compliance Associate, Asset Management, 35-45k Stable Asset Management company Friendly working culture Good career development My client is an asset management company with stable business within Asia. They are now looking for a Compliance Associate for their team in Hong Kong. You will be responsible for - Handling compliance policies; Managing internal control framework; Maintaining comprehensive documentation;Preparing required regulatory filings an

• Regulatory Compliance: Create and maintain compliance policies aligned with SFC and other regulations.• Licensing: Manage SFC licensing for Types 1, 2, 4, and 9 activities.• AML/KYC & Financial Crime: Oversee AML/KYC programs, client onboarding, due diligence, and suspicious activity monitoring.• Advisory: Provide compliance guidance to investment, trading, and operations teams on products, initiatives, and regulatory changes.• Monitoring & Surveillance:

Key ResponsibilitiesRegulatory Compliance: Develop and maintain comprehensive compliance policies and procedures that are in line with SFC and other relevant regulations. SFC Licensing & Regulatory Liaison: Oversee all aspects of SFC licensing for Types 1, 4, and 9 activities. This includes managing new license applications for the firm and its responsible officers, handling inquiries and inspections from the SFC, and ensuring timely reporting. Manager-In

IT Audit Manager, Bank, 55-60kStable Bank Regional Environment Open to big 4/ advisory firm My client is a stable corporate bank. They are now looking for an IT Audit manager for their high performing team. Responsibilities: Managing audit and regulatory projects with regarding to regulatory requirements. (e.g. HKSFC/ HKMA/ CSRC regulatory requirement, etc.); Manage IT infrastructure and application audits; Work closely with the Business auditors on i

Responsibilities● Collaborate with senior management to ensure operational goals align withthe company's mission and objectives.● Develop innovative business models.● Stay updated on relevant regulatory requirements and ensure compliancewith all applicable SFC regulation● Evaluate and improve operational processes to enhance efficiency andstreamline work flows.

THE COMPANY My client is a stable bank. They are looking for a head of Internal audit to support their growing business . THE ROLE Reporting into the Head of Internal audit, pls find your responsibilities as below - Leading and managing internal audit engagements from planning, risk assessment. Evaluating the effectiveness of internal controls of various cycles. Conducting follow-up of audit issues to assess the progress of implementation. Identifying

IT Audit Manager, Bank, 55-60kStable Bank Regional Environment Open to big 4/ advisory firm My client is a stable corporate bank. They are now looking for an IT Audit manager for their high performing team. Responsibilities: Managing audit and regulatory projects with regarding to regulatory requirements. (e.g. HKSFC/ HKMA/ CSRC regulatory requirement, etc.); Manage IT infrastructure and application audits; Work closely with the Business auditors on i

Perform due diligence on customer documentation during onboarding and periodic reviews.Provide guidance on KYC requirements to other business departments and liaise with compliance team for further guidance whenever necessary.Review screening and escalating results for sanctions or AML issues.Stay informed about regulatory changes and industry practices.Help formulate and implement policies and procedures for KYC compliance.Support system projects related

about the company.My client is a leading bank and they are looking AML Analyst to handle AML / CFT sanctions mattersabout the job.As a maker role to provide sanctions advisory during the AML process, to oversee EDD approval process for corporate and individual clientsConduct and assist with KYC / CDD/ periodic reviews and perform quality assirance when neededAssist to review and enhance the policies and procedures and assist to develop and update the asses