- about the company.Our client is a renowned brokerage company listed in the US, offering a comprehensive range of investment services. Their business encompasses trading and clearing services, margin financing and securities lending, as well as wealth management solutions.about the team.The organisation boasts a strong compliance culture and is comprised of highly skilled team members of exceptional caliber.about the job.Provide advice and support for busiabout the company.Our client is a renowned brokerage company listed in the US, offering a comprehensive range of investment services. Their business encompasses trading and clearing services, margin financing and securities lending, as well as wealth management solutions.about the team.The organisation boasts a strong compliance culture and is comprised of highly skilled team members of exceptional caliber.about the job.Provide advice and support for busi
- about the company.Our client is a fast-growing financial institution, with SFC Type 1 2 4 6 9 licenses. about the job.Support the Asset Management compliance team is handling all rounded Compliance matters; including both Investment Compliance and Business Compliance matters To ensure the business comply with latest regulatory requirements Responsible for dissemination of circularsProvide Compliance advice to business and operation Assist on SFC inspectionabout the company.Our client is a fast-growing financial institution, with SFC Type 1 2 4 6 9 licenses. about the job.Support the Asset Management compliance team is handling all rounded Compliance matters; including both Investment Compliance and Business Compliance matters To ensure the business comply with latest regulatory requirements Responsible for dissemination of circularsProvide Compliance advice to business and operation Assist on SFC inspection
- 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
- about the company.Our client is a Regional Corporate Banking with strong presence in Hong Kong. about the job. Carry out compliance monitoring activities Identify potential or actual risks found in compliance monitoring process, proposing suggestions in order to mitigate risksAssess and review the effectiveness of the existing Compliance control framework. Identifying any significant deficiencies and evaluating the impacts, as well as providing recommendatabout the company.Our client is a Regional Corporate Banking with strong presence in Hong Kong. about the job. Carry out compliance monitoring activities Identify potential or actual risks found in compliance monitoring process, proposing suggestions in order to mitigate risksAssess and review the effectiveness of the existing Compliance control framework. Identifying any significant deficiencies and evaluating the impacts, as well as providing recommendat
- about the companyOur client is a fast growing payment/money lending company with a strong presence in Greater China about the jobTo be appointed as CO and MLRO and heads up the Compliance function for Investment, Payment and Money Lending Service across APAC region Supervise 100+ staff with 4 direct reports in APAC regionProvide Compliance advises on global expansion and new business/office set up, as well as new product launchesDevelop/update group FCC aabout the companyOur client is a fast growing payment/money lending company with a strong presence in Greater China about the jobTo be appointed as CO and MLRO and heads up the Compliance function for Investment, Payment and Money Lending Service across APAC region Supervise 100+ staff with 4 direct reports in APAC regionProvide Compliance advises on global expansion and new business/office set up, as well as new product launchesDevelop/update group FCC a
- about the company.Our client is one of the biggest Investment Banking. about the team.Stable and friendly team. about the job.Collaborate with various departments to implement new compliance tasks, policies, and proceduresDevelop and execute new compliance checks to accommodate the rapid business growthConduct regular compliance reviews to ensure adherence to regulationsMonitor trading patterns for any potential compliance issuesIdentify, pursue, and addreabout the company.Our client is one of the biggest Investment Banking. about the team.Stable and friendly team. about the job.Collaborate with various departments to implement new compliance tasks, policies, and proceduresDevelop and execute new compliance checks to accommodate the rapid business growthConduct regular compliance reviews to ensure adherence to regulationsMonitor trading patterns for any potential compliance issuesIdentify, pursue, and addre
- about the companyOur client is one of the top-tier European Investment Bank about the teamA team of 20+ in compliance professionals about the jobTo provide compliance advisory to global markets business (Equities & Equities Derivatives) To assess new business initiatives, product and transaction approvals Maintain and modify control mechanisms to ensure compliance with laws and regulations Keep abreast of new rules and regulations issued by the SFC and prabout the companyOur client is one of the top-tier European Investment Bank about the teamA team of 20+ in compliance professionals about the jobTo provide compliance advisory to global markets business (Equities & Equities Derivatives) To assess new business initiatives, product and transaction approvals Maintain and modify control mechanisms to ensure compliance with laws and regulations Keep abreast of new rules and regulations issued by the SFC and pr
- about the companyOur client is a one of the top tier Private Banks globally about the jobMaintain a comprehensive Compliance program specific to the private banking division, in line with regulatory requirements and industry best practices.Provide advice and guidance on Compliance matters, including regulatory requirements and restrictions, internal policies and procedures etcStay up to date with relevant laws, regulations, industry norms and best practicabout the companyOur client is a one of the top tier Private Banks globally about the jobMaintain a comprehensive Compliance program specific to the private banking division, in line with regulatory requirements and industry best practices.Provide advice and guidance on Compliance matters, including regulatory requirements and restrictions, internal policies and procedures etcStay up to date with relevant laws, regulations, industry norms and best practic
- about the companyOur client is a leading asset manager with a strong presence in the Asia region about the teamA team of 3 in Investment Compliance about the jobLeading the Investment Compliance for business in APAC, reporting to the Head of Legal and Compliance APACWorking closely with regulators and external parties on inquiries, inspection, filing and reporting etc Reviewing pre-trade and post-trade monitoring, investigate and address potential breacheabout the companyOur client is a leading asset manager with a strong presence in the Asia region about the teamA team of 3 in Investment Compliance about the jobLeading the Investment Compliance for business in APAC, reporting to the Head of Legal and Compliance APACWorking closely with regulators and external parties on inquiries, inspection, filing and reporting etc Reviewing pre-trade and post-trade monitoring, investigate and address potential breache
- about the company.A Reputable Chinese Investment Bank/Securities about the team.You will be joining a team of 13 members in Compliance Departmentabout the job.Assist in all SFC licensing matters; including corporate license related issue, Sponsor Principal, RO license application and renewal, arrange MIC appointment etcReview and update internal policies and procedures to ensure compliance with latest regulationsAssist in handling regulatory requests and eabout the company.A Reputable Chinese Investment Bank/Securities about the team.You will be joining a team of 13 members in Compliance Departmentabout the job.Assist in all SFC licensing matters; including corporate license related issue, Sponsor Principal, RO license application and renewal, arrange MIC appointment etcReview and update internal policies and procedures to ensure compliance with latest regulationsAssist in handling regulatory requests and e
- about the company.Our client is an Insurance company who provides a comprehensive range of service and products, they are currently looking for a Head of Legal & Compliance to support their expanding business. You will lead a established L&C team and provide legal & compliance support to the business and operations of the organisation.about the job.Provide legal advice to all departments on different projects, new business initiatives, and development of tabout the company.Our client is an Insurance company who provides a comprehensive range of service and products, they are currently looking for a Head of Legal & Compliance to support their expanding business. You will lead a established L&C team and provide legal & compliance support to the business and operations of the organisation.about the job.Provide legal advice to all departments on different projects, new business initiatives, and development of t
- about the companyOur client is a regional corporate bank and private wealth management company. They are looking to expand the team in Hong Kong and looking for On-boarding Makers, Checkers and Approvers. about the jobFacilitate/review/approve on-boarding process against internal AML procedures and guidelinesComplete KYC review to ensure the account opening process fulfill latest regulatory requirements and Bank’s policies Conduct AML screening (ie name sabout the companyOur client is a regional corporate bank and private wealth management company. They are looking to expand the team in Hong Kong and looking for On-boarding Makers, Checkers and Approvers. about the jobFacilitate/review/approve on-boarding process against internal AML procedures and guidelinesComplete KYC review to ensure the account opening process fulfill latest regulatory requirements and Bank’s policies Conduct AML screening (ie name s
- about the company. Our client is a pioneer in the biotech field, engaged in nutraceuticals, pharmaceuticals and agriculture-related fields. They are currently expanding their fast growing team, and are now looking for a Manager, Laboratory Administration & Compliance. about the team. • Fast growing company with a team of almost 70 people• Reporting to Senior Laboratory Manager about the job. • Manage laboratory equipment re-allocation & disposal, and cheabout the company. Our client is a pioneer in the biotech field, engaged in nutraceuticals, pharmaceuticals and agriculture-related fields. They are currently expanding their fast growing team, and are now looking for a Manager, Laboratory Administration & Compliance. about the team. • Fast growing company with a team of almost 70 people• Reporting to Senior Laboratory Manager about the job. • Manage laboratory equipment re-allocation & disposal, and che
- about the jobYou will implement and perform daily duties and tasks in relation to new agent appointment, licensing, agency records maintenance, visa renewal and CPD reportingYou will prepare routine reports and to ensure due completion of daily duties and tasksYou will handle and resolve special and complicated cases and enquiriesYou will contribute to system enhancement projects to provide opinions and ideas for User Requirements and perform UAT skills &about the jobYou will implement and perform daily duties and tasks in relation to new agent appointment, licensing, agency records maintenance, visa renewal and CPD reportingYou will prepare routine reports and to ensure due completion of daily duties and tasksYou will handle and resolve special and complicated cases and enquiriesYou will contribute to system enhancement projects to provide opinions and ideas for User Requirements and perform UAT skills &
- about the companyOur client is a leading Investment Bank with a strong presence in the APAC region.about the teamRegional team, fast paced working environmentWesternalized culture with knowledgeable Compliance team (trained in US/EU top-tier banks) Promising career path about the jobAssist the Head of AML in performing KYC Advisory Performing compliance risk analysis on client onboarding/acceptance process Provide updates on latest KYC requirements and modabout the companyOur client is a leading Investment Bank with a strong presence in the APAC region.about the teamRegional team, fast paced working environmentWesternalized culture with knowledgeable Compliance team (trained in US/EU top-tier banks) Promising career path about the jobAssist the Head of AML in performing KYC Advisory Performing compliance risk analysis on client onboarding/acceptance process Provide updates on latest KYC requirements and mod
- about the company.Our client is a leading technology-driven online brokerage and wealth management platform. It offers innovative financial services, including stock trading, margin financing, and wealth management solutions to a diverse range of clients. It has gained recognition as a trusted platform in the financial industryabout the team.As part of a great compliance team, you will be joining a group of 14 professionals. The working environment fostersabout the company.Our client is a leading technology-driven online brokerage and wealth management platform. It offers innovative financial services, including stock trading, margin financing, and wealth management solutions to a diverse range of clients. It has gained recognition as a trusted platform in the financial industryabout the team.As part of a great compliance team, you will be joining a group of 14 professionals. The working environment fosters
- about the company.Our client is a renowned brokerage company listed in the US, offering a comprehensive range of investment services. Their business encompasses trading and clearing services, margin financing and securities lending, as well as wealth management solutionsabout the team.You will be joining an excellent team of 14 people, the culture is friendly and flexible. about the job.Conduct thorough investigations into compliance issues and red flags,about the company.Our client is a renowned brokerage company listed in the US, offering a comprehensive range of investment services. Their business encompasses trading and clearing services, margin financing and securities lending, as well as wealth management solutionsabout the team.You will be joining an excellent team of 14 people, the culture is friendly and flexible. about the job.Conduct thorough investigations into compliance issues and red flags,
- about the company.Our client is a prominent corporate bank with a strong presence in the global market. about the team.Stable team with flat and friendly culture. about the job.Review new account opening and account review documents to ensure compliance with AML policies, procedures, and internal guidelines.Conduct daily name screening using the Bank's AML system and collaborate with business units to address any related issues.Manage FATCA/CRS reporting tabout the company.Our client is a prominent corporate bank with a strong presence in the global market. about the team.Stable team with flat and friendly culture. about the job.Review new account opening and account review documents to ensure compliance with AML policies, procedures, and internal guidelines.Conduct daily name screening using the Bank's AML system and collaborate with business units to address any related issues.Manage FATCA/CRS reporting t
- about the company.Our client is a reputable bank providing a full spectrum of corporate banking services. You will join a small legal team and provide legal support to the team and the business. about the job.Update the regulations changes and submit relevant reports in a timely mannerCoordinate day-to-day legal support and risk management framework for the bankDevelop and carry out the legal & compliance training programOther ad-hoc work assigned by superabout the company.Our client is a reputable bank providing a full spectrum of corporate banking services. You will join a small legal team and provide legal support to the team and the business. about the job.Update the regulations changes and submit relevant reports in a timely mannerCoordinate day-to-day legal support and risk management framework for the bankDevelop and carry out the legal & compliance training programOther ad-hoc work assigned by super
- about the companyOur client is an expanding Retail Bank with a strong presence in the Asia region. about the teamDynamic, international working environment Rewarding and supportive culture about the jobActing as the MLRO and heads up the Financial Crime Compliance (FCC) functionImplement AML/Fraud/Sanctions framework to mitigate financial crime risks, including the implementation and evaluation of policies and procedures, evaluation existing work-flow, uabout the companyOur client is an expanding Retail Bank with a strong presence in the Asia region. about the teamDynamic, international working environment Rewarding and supportive culture about the jobActing as the MLRO and heads up the Financial Crime Compliance (FCC) functionImplement AML/Fraud/Sanctions framework to mitigate financial crime risks, including the implementation and evaluation of policies and procedures, evaluation existing work-flow, u
- about the company.Our client is a well-known MNC in the service sector. They are seeking a highly skilled and motivated Assistant Tax Manager to join their dynamic team. about the team. You will work in a team of 8 to handle all round tax duties about the job.Conduct thorough research and analysis of tax laws, regulations, and rulings to ensure compliance and identify potential tax-saving opportunities.Prepare and review tax returnsManage Transfer Pricingabout the company.Our client is a well-known MNC in the service sector. They are seeking a highly skilled and motivated Assistant Tax Manager to join their dynamic team. about the team. You will work in a team of 8 to handle all round tax duties about the job.Conduct thorough research and analysis of tax laws, regulations, and rulings to ensure compliance and identify potential tax-saving opportunities.Prepare and review tax returnsManage Transfer Pricing
- about the company.A regional based brokerage with stable working environmentabout the team.You will be managing a team of 2-3about the job.Oversee credit risk assessment and review credit limit proposal, covering equity, fixed income, OTC derivatives productsEnsure risk and control measures are executed timely and effectively, including position monitoring, daily margin call, etcConduct risk report review, account monitoring and credit due diligence; monitabout the company.A regional based brokerage with stable working environmentabout the team.You will be managing a team of 2-3about the job.Oversee credit risk assessment and review credit limit proposal, covering equity, fixed income, OTC derivatives productsEnsure risk and control measures are executed timely and effectively, including position monitoring, daily margin call, etcConduct risk report review, account monitoring and credit due diligence; monit
- about the company. a stable chinese corporate bank with solid financial backupabout the team.This is a new headcount within a group of experienced risk managersabout the job.Lead and manage end to end post lending credit risk monitoring functionsExecute effective execution of post lending credit control measures for corporate and financial institutional clientsIdentify and provide early-alerts on potential problematic credits accounts and recommend classifabout the company. a stable chinese corporate bank with solid financial backupabout the team.This is a new headcount within a group of experienced risk managersabout the job.Lead and manage end to end post lending credit risk monitoring functionsExecute effective execution of post lending credit control measures for corporate and financial institutional clientsIdentify and provide early-alerts on potential problematic credits accounts and recommend classif
- about the job.Perform regular monitoring and reporting in the area of asset and liability management, liquidity risk, and interest rate risk, including PnL calculations as well as stress testing.Report and present asset and liability management issues and recommend practical and effective remedial measures to ALCO and risk management committee in Hong KongConduct risk reporting as well as reviewing risk limits, triggers, risk indicator by statistical methoabout the job.Perform regular monitoring and reporting in the area of asset and liability management, liquidity risk, and interest rate risk, including PnL calculations as well as stress testing.Report and present asset and liability management issues and recommend practical and effective remedial measures to ALCO and risk management committee in Hong KongConduct risk reporting as well as reviewing risk limits, triggers, risk indicator by statistical metho
- about the job.Conduct risk assessments on investment and asset liability management related initiatives, identifying potential risks and evaluating their potential impact on the company.Monitor and analyse the risks associated with investment portfolios, asset-liability positions, and derivatives transactions, and ensure the effectiveness of the risk mitigating actions and compliance with internal policies, standards and regulatory guidelines.Support riskabout the job.Conduct risk assessments on investment and asset liability management related initiatives, identifying potential risks and evaluating their potential impact on the company.Monitor and analyse the risks associated with investment portfolios, asset-liability positions, and derivatives transactions, and ensure the effectiveness of the risk mitigating actions and compliance with internal policies, standards and regulatory guidelines.Support risk
- about the company.Leading and well established financial group in Hong Kong with investment banking, asset management and direct investment businessabout the job.Partner with the front office to advise, review, assess investment and project risk, ranging from private equity, private credit, project finance, structured finance, acquisition finance, leveraged finance, etc.Assess underlying business logics and evaluate the counterparty’s credit risk, collaterabout the company.Leading and well established financial group in Hong Kong with investment banking, asset management and direct investment businessabout the job.Partner with the front office to advise, review, assess investment and project risk, ranging from private equity, private credit, project finance, structured finance, acquisition finance, leveraged finance, etc.Assess underlying business logics and evaluate the counterparty’s credit risk, collater
- about the company.Stable Chinese Bank with solid financial back upabout the team.New headcount in a team of experienced risk managersabout the job.Drive projects and execute daily activities in the area of quantitative risk, covering areas and topics including credit risk modeling, credit portfolio management, operational risk, enterprise risk.Coordinate risk management projects for Hong Kong branch, including Basel III implementation and Expected Credit Labout the company.Stable Chinese Bank with solid financial back upabout the team.New headcount in a team of experienced risk managersabout the job.Drive projects and execute daily activities in the area of quantitative risk, covering areas and topics including credit risk modeling, credit portfolio management, operational risk, enterprise risk.Coordinate risk management projects for Hong Kong branch, including Basel III implementation and Expected Credit L
- about the company.Out client is one of the reputable corporate bank which provides retail banking, corporate and small business banking, investment banking and wealth management, and treasury and capital market solutionsabout the team.Friendly working enironment about the job.Lead and execute integrated risk coordination, project management, and risk measurement tasks.Coordinate integrated risk coordination, credit portfolio management, and various managemabout the company.Out client is one of the reputable corporate bank which provides retail banking, corporate and small business banking, investment banking and wealth management, and treasury and capital market solutionsabout the team.Friendly working enironment about the job.Lead and execute integrated risk coordination, project management, and risk measurement tasks.Coordinate integrated risk coordination, credit portfolio management, and various managem
- about the teamA team of 10+ in Sanctions Advisory about the jobTo provide Sanctions advisory support across Corporate and Retail BankingTo lead a team of 10 in Sanctions Advisory and InvestigationLead Sanctions projects and assignments Maintain and develop Sanctions framework, not limited to policies and procedures, work-flow, system, manpower etc Keep abreast of changes in local regulatory requirements and group policies and procedures on Sanctions-relateabout the teamA team of 10+ in Sanctions Advisory about the jobTo provide Sanctions advisory support across Corporate and Retail BankingTo lead a team of 10 in Sanctions Advisory and InvestigationLead Sanctions projects and assignments Maintain and develop Sanctions framework, not limited to policies and procedures, work-flow, system, manpower etc Keep abreast of changes in local regulatory requirements and group policies and procedures on Sanctions-relate
- about the company.Well established brokerage firm backed up by a sizable financial groupabout the team.Stable team and harmonious working environmentabout the job.Support overall credit risk management of retail, wealth management and institutional clients; manage credit risk exposure from product, counterparty, enterprise and client perspectivesPropose product LTV ratio and ongoing risk monitoring for investment products including equities, fixed income,about the company.Well established brokerage firm backed up by a sizable financial groupabout the team.Stable team and harmonious working environmentabout the job.Support overall credit risk management of retail, wealth management and institutional clients; manage credit risk exposure from product, counterparty, enterprise and client perspectivesPropose product LTV ratio and ongoing risk monitoring for investment products including equities, fixed income,
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