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- about the company.Our client is a Top-Tier Swiss Financial Institution that stands as one of the largest private banking groups in its home region of Basel and ranks among the elite global "pure-play" wealth managers. about the team.You will join a sophisticated and entrepreneurial team of bankers who operate as business partners. The culture is flat and agile, allowing for direct access to senior decision-makers and rapid credit approvals. The team is supabout the company.Our client is a Top-Tier Swiss Financial Institution that stands as one of the largest private banking groups in its home region of Basel and ranks among the elite global "pure-play" wealth managers. about the team.You will join a sophisticated and entrepreneurial team of bankers who operate as business partners. The culture is flat and agile, allowing for direct access to senior decision-makers and rapid credit approvals. The team is sup
- Key ResponsibilitiesRegulatory Leadership: Act as the primary point of contact for the Securities and Futures Commission (SFC), managing all licensing applications, on-site inspections, and ongoing regulatory correspondence.Framework Design: Develop, implement, and oversee a comprehensive compliance program covering SFC Type 1 (Dealing in Securities) and Type 7 (ATS) regulated activities.AML/CTF Oversight: Serve as the Head of Compliance/ Chief ComplianceKey ResponsibilitiesRegulatory Leadership: Act as the primary point of contact for the Securities and Futures Commission (SFC), managing all licensing applications, on-site inspections, and ongoing regulatory correspondence.Framework Design: Develop, implement, and oversee a comprehensive compliance program covering SFC Type 1 (Dealing in Securities) and Type 7 (ATS) regulated activities.AML/CTF Oversight: Serve as the Head of Compliance/ Chief Compliance
- COMPANY DESCRIPTIONOur client is a leading international law firm with a strong presence in Hong Kong. They are located in Hong Kong Island.JOB DESCRIPTION:* Execute comprehensive conflict searches and clearance for business acceptance and new business requests* Evaluate new client and matter submissions to deliver reports * Maintain high standards of accuracy to adhere to firm-wide compliance protocols * Coordinate with other business units to navigate tiCOMPANY DESCRIPTIONOur client is a leading international law firm with a strong presence in Hong Kong. They are located in Hong Kong Island.JOB DESCRIPTION:* Execute comprehensive conflict searches and clearance for business acceptance and new business requests* Evaluate new client and matter submissions to deliver reports * Maintain high standards of accuracy to adhere to firm-wide compliance protocols * Coordinate with other business units to navigate ti
