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28 jobs found for compliance, risk & governance

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    • permanent
    • HK$35,000 - HK$50,000 per month
    • full-time
    about the company.Strive to help customers to get more from their own life. about the team.Independent working in various fields, cooperating to develop better services for their clientsabout the job.Providing support to the implementation of Enterprise Risk Management Framework including formalisation of policy and drive various initiatives, to ensure effective framework is in place for meeting the regulatory requirement in best practiceProviding support
    about the company.Strive to help customers to get more from their own life. about the team.Independent working in various fields, cooperating to develop better services for their clientsabout the job.Providing support to the implementation of Enterprise Risk Management Framework including formalisation of policy and drive various initiatives, to ensure effective framework is in place for meeting the regulatory requirement in best practiceProviding support
    • permanent
    • HK$1,000,000 - HK$1,400,000 per year
    • full-time
    about the company.Foreign corporate investment bank with a stable clientele and prestigious reputationabout the job.Ensure risk framework and practices are implemented within the APAC regions trading books, including risk and PnL explanation and commentary.Providing market insights and reporting risk to senior stakeholders within the region as well as driving continuous improvement of the bank’s risk and control framework upon business needs Partner with s
    about the company.Foreign corporate investment bank with a stable clientele and prestigious reputationabout the job.Ensure risk framework and practices are implemented within the APAC regions trading books, including risk and PnL explanation and commentary.Providing market insights and reporting risk to senior stakeholders within the region as well as driving continuous improvement of the bank’s risk and control framework upon business needs Partner with s
    • contract
    • HK$25,000 - HK$30,000 per month
    • full-time
    about the company.Our client is a leading global provider of credit ratings, research and risk analysis.about the job.Provide managerial and technical support for execution of compliance responsibilitiesWork on different projects like External Data Service Provider and Anti-Money Laundering Review projectRespond to license and continuous professional training related queries Review SFC regulatory alerts and disseminated to stakeholders Document global prac
    about the company.Our client is a leading global provider of credit ratings, research and risk analysis.about the job.Provide managerial and technical support for execution of compliance responsibilitiesWork on different projects like External Data Service Provider and Anti-Money Laundering Review projectRespond to license and continuous professional training related queries Review SFC regulatory alerts and disseminated to stakeholders Document global prac
    • permanent
    • HK$25,000 - HK$30,000 per month
    • full-time
    about the company.Our client is a leading global provider of credit ratings, research and risk analysis.about the job.Provide managerial and technical support for execution of compliance responsibilitiesWork on different projects like External Data Service Provider and Anti-Money Laundering Review projectRespond to license and continuous professional training related queries Review SFC regulatory alerts and disseminated to stakeholders Document global prac
    about the company.Our client is a leading global provider of credit ratings, research and risk analysis.about the job.Provide managerial and technical support for execution of compliance responsibilitiesWork on different projects like External Data Service Provider and Anti-Money Laundering Review projectRespond to license and continuous professional training related queries Review SFC regulatory alerts and disseminated to stakeholders Document global prac
    • permanent
    • HK$700,000 - HK$1,000,000 per year
    • full-time
    about the company.International sizable corporate investment bankabout the team.A regional team of experienced operational risk managersabout the job.Assist and advise the 1st Line of Defence in APAC on the extension of Operational Risk framework, and ensure its compliance with global standardsAdvise and challenge operational risk assessments.Define and roll out independent testing plans to review and identify potential weakness in the operational procedur
    about the company.International sizable corporate investment bankabout the team.A regional team of experienced operational risk managersabout the job.Assist and advise the 1st Line of Defence in APAC on the extension of Operational Risk framework, and ensure its compliance with global standardsAdvise and challenge operational risk assessments.Define and roll out independent testing plans to review and identify potential weakness in the operational procedur
    • permanent
    • HK$90,000 - HK$110,000 per month
    • full-time
    about the companyOur client is a leading Chinese Investment Bank about the teamA team of 30+ compliance professionals about the jobHeads up the Control Room and IBD Compliance function. Reporting to the Head of ComplianceEnsure daily control room function including wall crossing, conflict and independence checks, maintenance of watch/restricted lists, information barriers etcReview and provide compliance advice related to corporate finance, capital market
    about the companyOur client is a leading Chinese Investment Bank about the teamA team of 30+ compliance professionals about the jobHeads up the Control Room and IBD Compliance function. Reporting to the Head of ComplianceEnsure daily control room function including wall crossing, conflict and independence checks, maintenance of watch/restricted lists, information barriers etcReview and provide compliance advice related to corporate finance, capital market
    • permanent
    • HK$35,000 - HK$45,000 per month
    • full-time
    about the companyOur client is a Corporate and Investment bank with strong presence in HK about the teamA team of 20+ compliance professionals about the jobTo assist in General Compliance functionTo assist in reviewing and updating compliance manuals, policies and procedures To analyze new regulatory and statutory requirements Provide compliance advisory to relevant business units Assist in HKMA onsite inspection, questionnaire, survey and ad hoc inquirie
    about the companyOur client is a Corporate and Investment bank with strong presence in HK about the teamA team of 20+ compliance professionals about the jobTo assist in General Compliance functionTo assist in reviewing and updating compliance manuals, policies and procedures To analyze new regulatory and statutory requirements Provide compliance advisory to relevant business units Assist in HKMA onsite inspection, questionnaire, survey and ad hoc inquirie
    • permanent
    • HK$40,000 - HK$60,000 per month
    • full-time
    about the companyOur client is a leading investment bank with strong presence globally. about the jobPerforming day-to-day trade surveillance and monitoring for APACConducting compliance monitoring review, scenario reviews, analyzing transactions alert detected investigations throughout the analysis process, generating reports of findings and providing suggestions on remediation when necessary,Collaborate with First Line of Defense in any breaches or mark
    about the companyOur client is a leading investment bank with strong presence globally. about the jobPerforming day-to-day trade surveillance and monitoring for APACConducting compliance monitoring review, scenario reviews, analyzing transactions alert detected investigations throughout the analysis process, generating reports of findings and providing suggestions on remediation when necessary,Collaborate with First Line of Defense in any breaches or mark
    • permanent
    • HK$50,000 - HK$95,000, per month, performance bonus
    • full-time
    about the company.A highly-respected investment bank is now hiring an Global Markets Audit (AVP/ VP) for their Hong Kong office. You will join an international platform which offers full-range of financial services including investment banking, corporate banking, asset wealth management. about the team. The Bank fosters diversity, multicultural and flexible work culture. Being part of the APAC Audit Department, you will work with about the job. As a va
    about the company.A highly-respected investment bank is now hiring an Global Markets Audit (AVP/ VP) for their Hong Kong office. You will join an international platform which offers full-range of financial services including investment banking, corporate banking, asset wealth management. about the team. The Bank fosters diversity, multicultural and flexible work culture. Being part of the APAC Audit Department, you will work with about the job. As a va
    • permanent
    • HK$1,600,000 - HK$2,000,000, per year, Bonus
    • full-time
    about the companyOur client is an international Corporate Bank with an expanding PWM business. about the team You will lead the HK regulatory, compliance advisory and AML team International working environmentFriendly culture about the job You will ensure that the Bank is in compliance with external rules and regulations and internal policies and proceduresYou will provide advisory support on compliance matters relating to general compliance, corporate ba
    about the companyOur client is an international Corporate Bank with an expanding PWM business. about the team You will lead the HK regulatory, compliance advisory and AML team International working environmentFriendly culture about the job You will ensure that the Bank is in compliance with external rules and regulations and internal policies and proceduresYou will provide advisory support on compliance matters relating to general compliance, corporate ba
    • permanent
    • HK$50,000 - HK$65,000 per month
    • full-time
    about the companyA top-tier foreign investment bank is looking for a Control Room AVP to join their team about the jobProvide advice to various business units and support units of the Bank relating to Control RoomDevelop, implement or update Bank policies and procedures relating to Information BarriersMaintain daily control room operation process Review/maintain documents and research reports with the Watch List, Restricted List and Grey ListReview researc
    about the companyA top-tier foreign investment bank is looking for a Control Room AVP to join their team about the jobProvide advice to various business units and support units of the Bank relating to Control RoomDevelop, implement or update Bank policies and procedures relating to Information BarriersMaintain daily control room operation process Review/maintain documents and research reports with the Watch List, Restricted List and Grey ListReview researc
    • permanent
    • HK$420,000 - HK$500,000 per year
    • full-time
    about the company.International corporate investment bankabout the team.Stable team covering credit control, monitoring, reporting for Hong Kong Branchabout the job.Responsible for the implementation of and compliance with the established policies and control procedures of the bank according to HKMA regulationsServe as a control function to monitor and report against breaches in approved credit limit, expired authorization, late rating, overdue payment, un
    about the company.International corporate investment bankabout the team.Stable team covering credit control, monitoring, reporting for Hong Kong Branchabout the job.Responsible for the implementation of and compliance with the established policies and control procedures of the bank according to HKMA regulationsServe as a control function to monitor and report against breaches in approved credit limit, expired authorization, late rating, overdue payment, un
    • permanent
    • HK$360,000 - HK$500,000, per year, attractive bonus
    • full-time
    about the company.Stable corporate investment bank in Hong Kong with strong financial backup. about the team.A flat and lean team with harmonious working environmentabout the job.Drive and help coordinate the implementation of operational risk toolkits (including Risk and Control Self-Assessment, Key Risk Indicators, Risk incident reporting) and BCP drill executionPerform process review and investigation to identify potential operational risks and make rec
    about the company.Stable corporate investment bank in Hong Kong with strong financial backup. about the team.A flat and lean team with harmonious working environmentabout the job.Drive and help coordinate the implementation of operational risk toolkits (including Risk and Control Self-Assessment, Key Risk Indicators, Risk incident reporting) and BCP drill executionPerform process review and investigation to identify potential operational risks and make rec
    • permanent
    • HK$400,000 - HK$500,000 per year
    • full-time
    about the company.International corporate investment bankabout the team.Stable team covering credit risk and credit monitoring for the Hong Kong Branchabout the job.Responsible for the implementation of and compliance with the established policies and control procedures of the bank according to HKMA regulationsServe as a control function to monitor and report against breaches in approved credit limit, expired authorization, late rating, overdue payment, un
    about the company.International corporate investment bankabout the team.Stable team covering credit risk and credit monitoring for the Hong Kong Branchabout the job.Responsible for the implementation of and compliance with the established policies and control procedures of the bank according to HKMA regulationsServe as a control function to monitor and report against breaches in approved credit limit, expired authorization, late rating, overdue payment, un
    • permanent
    • HK$480,000 - HK$700,000, per year, attractive bonus
    • full-time
    about the company.One of the most sizable corporate bank in HKabout the team.A team of 15+ credit analysis and approval subject matter experts about the job.Conduct credit analysis, assessment and evaluation for corporate lending deals and make recommendations for approvalEnsure proper and efficient execution of credit requests, monitor credit quality of a portfolio of clients for the bankReview and validate risk rating scorecards; monitor credit limit exc
    about the company.One of the most sizable corporate bank in HKabout the team.A team of 15+ credit analysis and approval subject matter experts about the job.Conduct credit analysis, assessment and evaluation for corporate lending deals and make recommendations for approvalEnsure proper and efficient execution of credit requests, monitor credit quality of a portfolio of clients for the bankReview and validate risk rating scorecards; monitor credit limit exc
    • permanent
    • HK$48,000 - HK$63,000 per month
    • full-time
    about the companyA top-tier foreign investment bank is looking for a Control Room AVP to join their team about the jobProvide advice to various business units and support units of the Bank relating to Control RoomDevelop, implement or update Bank policies and procedures relating to Information BarriersMaintain daily control room operation process Review/maintain documents and research reports with the Watch List, Restricted List and Grey ListReview researc
    about the companyA top-tier foreign investment bank is looking for a Control Room AVP to join their team about the jobProvide advice to various business units and support units of the Bank relating to Control RoomDevelop, implement or update Bank policies and procedures relating to Information BarriersMaintain daily control room operation process Review/maintain documents and research reports with the Watch List, Restricted List and Grey ListReview researc
    • permanent
    • HK$30,000 - HK$35,000 per month
    • full-time
    about the company.My client is a regional corporate investment bank with stable clientele and financial performance about the job.Perform regular risk-related reports and market risk data maintenanceEstablish and implement the risk monitoring reports to ensure risk control alerts and limits are effective and efficientEnhance the corresponding policies and guidelines to ensure internal risk controls are adequate and appropriate Improve the market risk and c
    about the company.My client is a regional corporate investment bank with stable clientele and financial performance about the job.Perform regular risk-related reports and market risk data maintenanceEstablish and implement the risk monitoring reports to ensure risk control alerts and limits are effective and efficientEnhance the corresponding policies and guidelines to ensure internal risk controls are adequate and appropriate Improve the market risk and c
    • permanent
    • HK$1,000,000 - HK$1,300,000 per year
    • full-time
    about the company.Leading corporate investment bankabout the team.International risk managersabout the job.Responsible for carrying out independent validations of quantitative models, to identify and communicate model riskReview and validate models and methodologies across regions, businesses, functions and risk types within the bank Liaising with first line of defence and other model stakeholders to ensure model reviews and model findings are adequately r
    about the company.Leading corporate investment bankabout the team.International risk managersabout the job.Responsible for carrying out independent validations of quantitative models, to identify and communicate model riskReview and validate models and methodologies across regions, businesses, functions and risk types within the bank Liaising with first line of defence and other model stakeholders to ensure model reviews and model findings are adequately r
    • permanent
    • full-time
    about the company.International Company having business all around the worldabout the team.Team cooperation is valued, good English and Mandarin communication skills is neededabout the job.• Develop a deep understanding of client needs and competitor offerings to build industry leading business risks solutions • Providing effective outcomes to producers and client advocates so that awareness could be built on company strategies and capabilities in the bus
    about the company.International Company having business all around the worldabout the team.Team cooperation is valued, good English and Mandarin communication skills is neededabout the job.• Develop a deep understanding of client needs and competitor offerings to build industry leading business risks solutions • Providing effective outcomes to producers and client advocates so that awareness could be built on company strategies and capabilities in the bus
    • permanent
    • HK$70,000 - HK$120,000 per month
    • full-time
    about the companyOur client is an investment arm of a leading Investment Bank. They are currently expanding their team and looking for a (Associate) Compliance Director to join and to look after their Private Equities business. about the jobSupporting the Head of Compliance in all compliance matters, including business compliance, investment compliance and AML regarding Private Equities businessProviding compliance advice to business units (traders, portf
    about the companyOur client is an investment arm of a leading Investment Bank. They are currently expanding their team and looking for a (Associate) Compliance Director to join and to look after their Private Equities business. about the jobSupporting the Head of Compliance in all compliance matters, including business compliance, investment compliance and AML regarding Private Equities businessProviding compliance advice to business units (traders, portf
    • permanent
    • HK$350,000 - HK$480,000 per year
    • full-time
    About the job.Set up investment risk control indicators/limits in Bloomberg according to the company's overall risk appetite, investment asset allocation proposals, investment mandates, etc.Regularly monitor and report the indicators/limits to ensure within defined appetite and limitsIdentify and escalate all emerging issues, gather relevant information and assist the team to derive potential mitigation actions and solutionsAssist to assess the underlying
    About the job.Set up investment risk control indicators/limits in Bloomberg according to the company's overall risk appetite, investment asset allocation proposals, investment mandates, etc.Regularly monitor and report the indicators/limits to ensure within defined appetite and limitsIdentify and escalate all emerging issues, gather relevant information and assist the team to derive potential mitigation actions and solutionsAssist to assess the underlying
    • permanent
    • HK$1,600,000 - HK$1,900,000, per year, Bonus
    • full-time
    about the companyOur client is an international Corporate Bank with an expanding PWM business. about the team You will lead the HK regulatory, compliance advisory and AML team International working environmentFriendly culture about the job You will ensure that the Bank is in compliance with external rules and regulations and internal policies and proceduresYou will provide advisory support on compliance matters relating to general compliance, corporate ba
    about the companyOur client is an international Corporate Bank with an expanding PWM business. about the team You will lead the HK regulatory, compliance advisory and AML team International working environmentFriendly culture about the job You will ensure that the Bank is in compliance with external rules and regulations and internal policies and proceduresYou will provide advisory support on compliance matters relating to general compliance, corporate ba
    • permanent
    • HK$780,000 - HK$960,000 per year
    • full-time
    About the job.Plan and design the credit risk framework for monitoring and managing exposures across counterpartiesAssess counterparty exposure and evaluate risks associated in transactions in OTC derivatives and lending businesses, and propose necessary risk controls and mitigantsConduct periodic counterparty reviews, assessing risk appetite and exposure driversParticipate in development of trading documentation and contractsPerform ad hoc credit risk an
    About the job.Plan and design the credit risk framework for monitoring and managing exposures across counterpartiesAssess counterparty exposure and evaluate risks associated in transactions in OTC derivatives and lending businesses, and propose necessary risk controls and mitigantsConduct periodic counterparty reviews, assessing risk appetite and exposure driversParticipate in development of trading documentation and contractsPerform ad hoc credit risk an
    • permanent
    • HK$360,000 - HK$480,000, per year, attractive bonus
    • full-time
    About the companyFast growing and expanding corporate investment bankAbout the teamWell-established risk managers with stable and harmonious working cultureAbout the jobMonitor trading limits and exposure limits of traders.Prepare daily risk management report and ensure precise position.Ensure full compliance with internal risk management policies and external regulatory requirements.Advise and assist senior managements on reviewing limits, risk management
    About the companyFast growing and expanding corporate investment bankAbout the teamWell-established risk managers with stable and harmonious working cultureAbout the jobMonitor trading limits and exposure limits of traders.Prepare daily risk management report and ensure precise position.Ensure full compliance with internal risk management policies and external regulatory requirements.Advise and assist senior managements on reviewing limits, risk management
    • permanent
    • HK$70,000 - HK$120,000 per month
    • full-time
    about the companyOur client is a leading European Investment Bank with expanding business in Asia about the teamRegional team, fast paced working environmentWesternise culture about the jobTo provide compliance advisory to global markets business, with a focus on FICC desk To perform compliance monitoring on business activities and ensure completion of compliance review To assess new business initiatives, product and transaction approvals Maintain and mod
    about the companyOur client is a leading European Investment Bank with expanding business in Asia about the teamRegional team, fast paced working environmentWesternise culture about the jobTo provide compliance advisory to global markets business, with a focus on FICC desk To perform compliance monitoring on business activities and ensure completion of compliance review To assess new business initiatives, product and transaction approvals Maintain and mod
    • permanent
    • HK$60,000 - HK$95,000, per month, performance bonus
    • full-time
    about the company.A highly-respected investment bank is now hiring an Global Markets Audit (AVP/ VP) for their Hong Kong office. You will join an international platform which offers full-range of financial services including investment banking, corporate banking, asset wealth management. about the team. The Bank fosters diversity, multicultural and flexible work culture. Being part of the APAC Audit Department, you will work with about the job. As a va
    about the company.A highly-respected investment bank is now hiring an Global Markets Audit (AVP/ VP) for their Hong Kong office. You will join an international platform which offers full-range of financial services including investment banking, corporate banking, asset wealth management. about the team. The Bank fosters diversity, multicultural and flexible work culture. Being part of the APAC Audit Department, you will work with about the job. As a va
    • permanent
    • HK$30,000 - HK$70,000 per month
    • full-time
    about the companyOur client is an leading investment bank with strong presence globally. about the jobDaily monitoring and disclosure of traded securitiesPrepare disclosures and reporting to equity products (such as Large Shareholder, Short Position and Takeover Panel). Liaise with business to confirm positionProvide trade surveillance and identify trading patterns, suspicious activities, market misconduct etcAssist global markets compliance team on daily
    about the companyOur client is an leading investment bank with strong presence globally. about the jobDaily monitoring and disclosure of traded securitiesPrepare disclosures and reporting to equity products (such as Large Shareholder, Short Position and Takeover Panel). Liaise with business to confirm positionProvide trade surveillance and identify trading patterns, suspicious activities, market misconduct etcAssist global markets compliance team on daily
    • permanent
    • HK$55,000 - HK$80,000 per month
    • full-time
    Our client is a local financial services company in Hong Kong with leading Trustee Service and well known for its pension business (MPF/ORSO). They are currently looking for a AVP/VP to join their Compliance team. about the jobActing as Deputy Head to ensure compliance in Trustee services Design and modify monitoring frameworks and due diligence procedures Keep abreast of latest regulatory requirements and investment products developments Ensure the opera
    Our client is a local financial services company in Hong Kong with leading Trustee Service and well known for its pension business (MPF/ORSO). They are currently looking for a AVP/VP to join their Compliance team. about the jobActing as Deputy Head to ensure compliance in Trustee services Design and modify monitoring frameworks and due diligence procedures Keep abreast of latest regulatory requirements and investment products developments Ensure the opera

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