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19 jobs found for compliance, risk & governance

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    • permanent
    • HK$25,000 - HK$38,000 per month
    • full-time
    about the companyA Hong Kong-based investment group is hiring for a junior Compliance talent to join their Asset Management arm. Our client provides a range of financial services, reputable for their quantitative strategies and quality research through proprietary trading platforms. about the teamA team of 3 in the Asset Management Compliance Department about the jobSupport the Head of Compliance in all compliance matters, including general compliance, investment compliance and AMLProvide compliance advice to business units and managements Review and update policies and procedures to ensure adherence with latest regulations and internal policies Handle licensing matters Perform surveillance function, AML investigation and KYC/CDD reviewLiaise with external parties regarding compliance matters, including external compliance consultant, auditors, law enforcement and regulators skills & experiences requiredUniversity Degree in Law, Accounting, Finance or relevant disciplines At least 2 years compliance experience in asset management firms. Knowledge of proprietary trading would be an advantage. Candidates from professional services/regulators would be consideredFluent in spoken and written English and Chinese Eager to learn and self-motivated individual To apply online, please click on the link. Alternatively, for a confidential discussion please contact Joanne Lo on + 852 2232 3421 or email: joanne.lo@randstad.com.hk
    about the companyA Hong Kong-based investment group is hiring for a junior Compliance talent to join their Asset Management arm. Our client provides a range of financial services, reputable for their quantitative strategies and quality research through proprietary trading platforms. about the teamA team of 3 in the Asset Management Compliance Department about the jobSupport the Head of Compliance in all compliance matters, including general compliance, investment compliance and AMLProvide compliance advice to business units and managements Review and update policies and procedures to ensure adherence with latest regulations and internal policies Handle licensing matters Perform surveillance function, AML investigation and KYC/CDD reviewLiaise with external parties regarding compliance matters, including external compliance consultant, auditors, law enforcement and regulators skills & experiences requiredUniversity Degree in Law, Accounting, Finance or relevant disciplines At least 2 years compliance experience in asset management firms. Knowledge of proprietary trading would be an advantage. Candidates from professional services/regulators would be consideredFluent in spoken and written English and Chinese Eager to learn and self-motivated individual To apply online, please click on the link. Alternatively, for a confidential discussion please contact Joanne Lo on + 852 2232 3421 or email: joanne.lo@randstad.com.hk
    • permanent
    • HK$45,000 - HK$53,000 per month
    • full-time
    about the companyOur client is a regional bank with strong presence in Asia about the teamA team of 20+ Legal and Compliance professionalsabout the jobConduct compliance review and testing activities To identify potential compliance-relevant risks Implement control and provide recommendations, establish remediation actions and monitor remediation process Follow up with internal audit on finds and compliance risks Assist in ad hoc compliance testing projectsskills & experiences requiredUniversity Degree in Accounting, Law, Finance or relevant disciplines At least 5 years compliance experience in compliance review/internal audit/risk control functionsQualification in accounting would be an advantage Good command in spoken and written English and ChineseTo apply online, please click on the link. Alternatively, for a confidential discussion please contact Joanne Lo on + 852 2232 3421 or email: joanne.lo@randstad.com.hk
    about the companyOur client is a regional bank with strong presence in Asia about the teamA team of 20+ Legal and Compliance professionalsabout the jobConduct compliance review and testing activities To identify potential compliance-relevant risks Implement control and provide recommendations, establish remediation actions and monitor remediation process Follow up with internal audit on finds and compliance risks Assist in ad hoc compliance testing projectsskills & experiences requiredUniversity Degree in Accounting, Law, Finance or relevant disciplines At least 5 years compliance experience in compliance review/internal audit/risk control functionsQualification in accounting would be an advantage Good command in spoken and written English and ChineseTo apply online, please click on the link. Alternatively, for a confidential discussion please contact Joanne Lo on + 852 2232 3421 or email: joanne.lo@randstad.com.hk
    • permanent
    • HK$100,000 - HK$120,000 per month
    • full-time
    about the companyOur client is a leading Asian Investment Group with an AUM of over $20billion USD. They are searching for a motivated and spirited individual to join their Hong Kong office. about the teamA team of 10+ in the Compliance Department about the jobActs as the Team Lead and leading 3 staffs in performing Asset Management Compliance for Hong Kong and SingaporePrimary contact point with regulators (SFC and MAS) on enquiries, questionnaires, inspection etc Review and approve fund distribution activities and marketing materials Review and modify policies and procedures, compliance manuals regarding latest regulationsAdvise business on new initiatives, transactions, business operations and other compliance matters skills & experiences requiredUniversity Degree in Law, Accounting, Finance or relevant disciplines At least 7 years compliance experience in asset management firms. Knowledge of quantitative trading would be an advantage Familiar with HK and SGP regulations and requirements on funds (management) business Experience in people management would be an advantageFluent in spoken and written English and Chinese To apply online, please click on the link. Alternatively, for a confidential discussion please contact Joanne Lo on + 852 2232 3421 or email: joanne.lo@randstad.com.hk
    about the companyOur client is a leading Asian Investment Group with an AUM of over $20billion USD. They are searching for a motivated and spirited individual to join their Hong Kong office. about the teamA team of 10+ in the Compliance Department about the jobActs as the Team Lead and leading 3 staffs in performing Asset Management Compliance for Hong Kong and SingaporePrimary contact point with regulators (SFC and MAS) on enquiries, questionnaires, inspection etc Review and approve fund distribution activities and marketing materials Review and modify policies and procedures, compliance manuals regarding latest regulationsAdvise business on new initiatives, transactions, business operations and other compliance matters skills & experiences requiredUniversity Degree in Law, Accounting, Finance or relevant disciplines At least 7 years compliance experience in asset management firms. Knowledge of quantitative trading would be an advantage Familiar with HK and SGP regulations and requirements on funds (management) business Experience in people management would be an advantageFluent in spoken and written English and Chinese To apply online, please click on the link. Alternatively, for a confidential discussion please contact Joanne Lo on + 852 2232 3421 or email: joanne.lo@randstad.com.hk
    • permanent
    • HK$40,000 - HK$50,000 per month
    • full-time
    about the companyOur client is a leading investment bank with strong presence across the globe. Currently, they are hiring a Operational Risk Manager to support the team. about the jobYou will:Prepare key risk indicator reports (KRI) to be distributed to management using a wide range of business oeprational dataParticipate inn annual organizational risk & control self-assessment program (CSOX) and work with all business units to identify business risksInvestigation of significant operational and technology risk events and escalate these events within the ORM team and to CROAssist in Business Continuity Planning, Disaster Recovery and Crisis Management activitiesskills & experiences requiredMinimum 5 years experience in operational risk management or controlFamiliar with investment banking products and procedureKeep abreast of latest regulatory changes on operational risk related issueStrong interpersonal skill Good command of English and ChineseTo apply online, please click on the link. Alternatively, for a confidential discussion please contact Gillian Lam on +852 2232 3442 or gillian.lam@randstad.com.hk
    about the companyOur client is a leading investment bank with strong presence across the globe. Currently, they are hiring a Operational Risk Manager to support the team. about the jobYou will:Prepare key risk indicator reports (KRI) to be distributed to management using a wide range of business oeprational dataParticipate inn annual organizational risk & control self-assessment program (CSOX) and work with all business units to identify business risksInvestigation of significant operational and technology risk events and escalate these events within the ORM team and to CROAssist in Business Continuity Planning, Disaster Recovery and Crisis Management activitiesskills & experiences requiredMinimum 5 years experience in operational risk management or controlFamiliar with investment banking products and procedureKeep abreast of latest regulatory changes on operational risk related issueStrong interpersonal skill Good command of English and ChineseTo apply online, please click on the link. Alternatively, for a confidential discussion please contact Gillian Lam on +852 2232 3442 or gillian.lam@randstad.com.hk
    • permanent
    • AU$40,000 - AU$50,000 per month
    • full-time
    about the companyA regional Corporate and Private bank is looking for a CDD Compliance candidate to join their teamabout the teamA team of 50+ in Compliance Department about the jobActing as a Team Lead and ensure compliance with KYC/CDD policies and procedures To conduct periodic review on existing accounts and to review any triggered eventsEnsure existing control procedures on client onboarding are followed to mitigate potential operational risk Provide advice to ‘makers’ to enhance quality and efficiencyProvide KYC/CDD training to branch staffs skills & experiences requiredUniversity Degree in Accounting, Law, Finance or relevant disciplinesAML qualification (ie CAMS, AAMLP, CAMLP etc) is needed A minimum of 5 years operation/compliance experienceHad experience in CDD, KYC and client onboarding would be preferred Fluent in spoken and written English and Chinese
    about the companyA regional Corporate and Private bank is looking for a CDD Compliance candidate to join their teamabout the teamA team of 50+ in Compliance Department about the jobActing as a Team Lead and ensure compliance with KYC/CDD policies and procedures To conduct periodic review on existing accounts and to review any triggered eventsEnsure existing control procedures on client onboarding are followed to mitigate potential operational risk Provide advice to ‘makers’ to enhance quality and efficiencyProvide KYC/CDD training to branch staffs skills & experiences requiredUniversity Degree in Accounting, Law, Finance or relevant disciplinesAML qualification (ie CAMS, AAMLP, CAMLP etc) is needed A minimum of 5 years operation/compliance experienceHad experience in CDD, KYC and client onboarding would be preferred Fluent in spoken and written English and Chinese
    • permanent
    • HK$35,000 - HK$45,000 per month
    • full-time
    about the companyOur client is a leading Regional Bank in APAC. Well-known for their Private Banking and Corporate Banking business about the jobMonitor and advise Private Banking activities in compliance perspective Conduct investment suitability assessments and review product due diligenceProvide training to front line staff on investment suitability and increase risk awareness & compliance culture. Topics covering material amend/cancel/re-book check, upward post-trade amendment check, order taking process for investment products etc Assist in bank-wide compliance projects and initiatives for Private Banking business skills & experiences requiredUniversity Degree in Economics, Finance, Law or AccountingAt least 3 to 7 years of relevant experience. Private Banking experience would be an advantage, Retail Banking/Wealth Management experience would be consideredExperience in performing investment suitability testing is a mustUnderstand selling practice and good to have product due diligence experience Written and spoken English and conversational Chinese To apply online, please click on the link. Alternatively, for a confidential discussion please contact Joanne Lo on + 852 2232 3421 or email: joanne.lo@randstad.com.hk
    about the companyOur client is a leading Regional Bank in APAC. Well-known for their Private Banking and Corporate Banking business about the jobMonitor and advise Private Banking activities in compliance perspective Conduct investment suitability assessments and review product due diligenceProvide training to front line staff on investment suitability and increase risk awareness & compliance culture. Topics covering material amend/cancel/re-book check, upward post-trade amendment check, order taking process for investment products etc Assist in bank-wide compliance projects and initiatives for Private Banking business skills & experiences requiredUniversity Degree in Economics, Finance, Law or AccountingAt least 3 to 7 years of relevant experience. Private Banking experience would be an advantage, Retail Banking/Wealth Management experience would be consideredExperience in performing investment suitability testing is a mustUnderstand selling practice and good to have product due diligence experience Written and spoken English and conversational Chinese To apply online, please click on the link. Alternatively, for a confidential discussion please contact Joanne Lo on + 852 2232 3421 or email: joanne.lo@randstad.com.hk
    • permanent
    • HK$70,000 - HK$85,000 per year
    • full-time
    about the companyOur client is a well-known real estate private equity with strong presence globally. Holding SFC Type 1 4 9 license and with an AUM of USD $150billion. They are rapidly expanding in recent years and looking for compliance talents to join their team. about the teamA team of 3 in Hong Kong Compliance Department about the jobActs as the Deputy Head of Compliance. Lead team to perform compliance functions To establish and modify AML/regulatory compliance framework Primary contact point with (SFC) on enquiries, questionnaires, inspection etc Review and approve fund distribution activities and marketing materials Advise business on new initiatives, business operations and other compliance matters skills & experiences requiredUniversity Degree in Law, Accounting, Finance or relevant disciplines At least 7 years compliance experience in asset managers or private equity business Solid compliance experience in SFC Type 1 4 9 licensed business Excellent in spoken and written English is required. Chinese skills would be an advantageTo apply online, please click on the link. Alternatively, for a confidential discussion please contact Joanne Lo on + 852 2232 3421 or email: joanne.lo@randstad.com.hk
    about the companyOur client is a well-known real estate private equity with strong presence globally. Holding SFC Type 1 4 9 license and with an AUM of USD $150billion. They are rapidly expanding in recent years and looking for compliance talents to join their team. about the teamA team of 3 in Hong Kong Compliance Department about the jobActs as the Deputy Head of Compliance. Lead team to perform compliance functions To establish and modify AML/regulatory compliance framework Primary contact point with (SFC) on enquiries, questionnaires, inspection etc Review and approve fund distribution activities and marketing materials Advise business on new initiatives, business operations and other compliance matters skills & experiences requiredUniversity Degree in Law, Accounting, Finance or relevant disciplines At least 7 years compliance experience in asset managers or private equity business Solid compliance experience in SFC Type 1 4 9 licensed business Excellent in spoken and written English is required. Chinese skills would be an advantageTo apply online, please click on the link. Alternatively, for a confidential discussion please contact Joanne Lo on + 852 2232 3421 or email: joanne.lo@randstad.com.hk
    • permanent
    • HK$1,200,000 - HK$1,400,000, per year, Bonus
    • full-time
    about the company Our client is an expanding retail / consumer bank with a strong presence in HK. about the job You will oversee and monitor the regulatory compliance, operational risk, financial crime risk functions of the FirmMonitor the Firm's compliance with internal policies and applicable laws, regulations and guidelines, listing rules as well as corporate governanceLiaise with regulators and local authorities on legal and compliance issuesDeal with relevant regulatory authorities and external parties (e.g. SFC, HKEx) skills & experiences required University degree holder in law, finance or related disciplinesAt least 12 to 15 years of relevant risk or compliance experience in financial services industry in Hong KongStrong leadership and people management skillsStrong presentation and communication skills in fluent written and spoken English and Chinese languages To apply online, please click on the link below. Alternatively, for a confidential discussion please contact Rouella Landicho on + 852 2232 3479 or email: rouella.landicho@randstad.com.hk
    about the company Our client is an expanding retail / consumer bank with a strong presence in HK. about the job You will oversee and monitor the regulatory compliance, operational risk, financial crime risk functions of the FirmMonitor the Firm's compliance with internal policies and applicable laws, regulations and guidelines, listing rules as well as corporate governanceLiaise with regulators and local authorities on legal and compliance issuesDeal with relevant regulatory authorities and external parties (e.g. SFC, HKEx) skills & experiences required University degree holder in law, finance or related disciplinesAt least 12 to 15 years of relevant risk or compliance experience in financial services industry in Hong KongStrong leadership and people management skillsStrong presentation and communication skills in fluent written and spoken English and Chinese languages To apply online, please click on the link below. Alternatively, for a confidential discussion please contact Rouella Landicho on + 852 2232 3479 or email: rouella.landicho@randstad.com.hk
    • permanent
    • HK$25,000 - HK$60,000 per month
    • full-time
    about the company One of the Top-Tier US electronic trading companies is expanding their business in Asia and looking for a Complaint Handling talent in Hong Kongabout the jobLiaise with Regulators in the region on enquiries, complaints and dispute related to Compliance mattersConduct investigation and prepare detailed review on dispute cases, assist in court documentation and settlement agreement filing.Prepare presentation to senior management and draft response to regulators and authoritiesProvide compliance advice to business units and internal partiesWork closely with legal department and senior management skills & experiences requiredBachelor degree in Law, Accounting, Finance or relevant disciplinesMinimum 2 years working experience in Compliance/Legal/Audit field. Senior Candidates would be considered for Assistant Manager/Manager positionCandidates with knowledge of electronic trading and securities brokerage business would be preferred. Experience in dealing with regulators (SFC) would be an advantage.Good command in EnglishTo apply online, please click on the link. Alternatively, for a confidential discussion please contact Joanne Lo on + 852 2232 3421 or email: joanne.lo@randstad.com.hk
    about the company One of the Top-Tier US electronic trading companies is expanding their business in Asia and looking for a Complaint Handling talent in Hong Kongabout the jobLiaise with Regulators in the region on enquiries, complaints and dispute related to Compliance mattersConduct investigation and prepare detailed review on dispute cases, assist in court documentation and settlement agreement filing.Prepare presentation to senior management and draft response to regulators and authoritiesProvide compliance advice to business units and internal partiesWork closely with legal department and senior management skills & experiences requiredBachelor degree in Law, Accounting, Finance or relevant disciplinesMinimum 2 years working experience in Compliance/Legal/Audit field. Senior Candidates would be considered for Assistant Manager/Manager positionCandidates with knowledge of electronic trading and securities brokerage business would be preferred. Experience in dealing with regulators (SFC) would be an advantage.Good command in EnglishTo apply online, please click on the link. Alternatively, for a confidential discussion please contact Joanne Lo on + 852 2232 3421 or email: joanne.lo@randstad.com.hk
    • permanent
    • HK$55,000 - HK$70,000 per month
    • full-time
    about the companyOur client is a well-known Corporate Investment Bank headquartered in Europe - Hong Kong Branch as the regional hub. As part of the business growth, they are looking for a FI credit risk professional to support the team for Hong Kong.about the teamThe bank offers a multinational and dynamic work culture backed by a strong leadership team. You will work in a small-medium sized team. Friendly, humble and supportive environment.about the jobReporting to the team head, you will: Perform quality credit evaluation and detail risk assessment on banks, NBFIs and sovereigns.Analyze transactions and prepare limits proposals as requested by BusinessMonitor the FI and Country risk portfolio and aware of the latest market trend and development, includingcredit rating changes, adverse news release, credit events, etc.Assist in credit risk projectsskills & experiences requiredminimum 5 years of FI credit risk/country risk experience in banking industrygood understanding of the financial sector in the Asia Pacific region and well as the economic/macro development in the regiongood communication skills and interpersonal skillsgood command of English and ChineseTo apply online, please click on the link. Alternatively, for a confidential discussion please contact Gillian Lam on +852 2232 3442 or gillian.lam@randstad.com.hk
    about the companyOur client is a well-known Corporate Investment Bank headquartered in Europe - Hong Kong Branch as the regional hub. As part of the business growth, they are looking for a FI credit risk professional to support the team for Hong Kong.about the teamThe bank offers a multinational and dynamic work culture backed by a strong leadership team. You will work in a small-medium sized team. Friendly, humble and supportive environment.about the jobReporting to the team head, you will: Perform quality credit evaluation and detail risk assessment on banks, NBFIs and sovereigns.Analyze transactions and prepare limits proposals as requested by BusinessMonitor the FI and Country risk portfolio and aware of the latest market trend and development, includingcredit rating changes, adverse news release, credit events, etc.Assist in credit risk projectsskills & experiences requiredminimum 5 years of FI credit risk/country risk experience in banking industrygood understanding of the financial sector in the Asia Pacific region and well as the economic/macro development in the regiongood communication skills and interpersonal skillsgood command of English and ChineseTo apply online, please click on the link. Alternatively, for a confidential discussion please contact Gillian Lam on +852 2232 3442 or gillian.lam@randstad.com.hk
    • permanent
    • HK$50,000 - HK$70,000 per month
    • full-time
    about the companyA reputable corporate bank is now hiring a Interest Rate Risk Manager to join the Asset and Liability team in Hong Kong. You will work in a small team environment and report to the department head.about the teamThe Bank offers a collaborative, supportive and stable work environment.about the jobYou will: Maintain interest rate risk management policy and procedures to meet with regulatory and internal requirementsDevelop and enhance FTP policy and establish FTP ratesPrepare BAU interest rate reporting such as gap analysis and rate sensitivity analysisPerform Bank's NII projections and scenario analysis skills & experiences requiredminimum 5 years’ experience in interest rate risk management in Banking Book, FTP managementGood knowledge in banking books and related productsStrong data analytical skills, such as VBA and SQLGood command of English and ChineseTo apply online, please click on the link. Alternatively, for a confidential discussion please contact Gillian Lam on +852 2232 3442 or gillian.lam@randstad.com.hk
    about the companyA reputable corporate bank is now hiring a Interest Rate Risk Manager to join the Asset and Liability team in Hong Kong. You will work in a small team environment and report to the department head.about the teamThe Bank offers a collaborative, supportive and stable work environment.about the jobYou will: Maintain interest rate risk management policy and procedures to meet with regulatory and internal requirementsDevelop and enhance FTP policy and establish FTP ratesPrepare BAU interest rate reporting such as gap analysis and rate sensitivity analysisPerform Bank's NII projections and scenario analysis skills & experiences requiredminimum 5 years’ experience in interest rate risk management in Banking Book, FTP managementGood knowledge in banking books and related productsStrong data analytical skills, such as VBA and SQLGood command of English and ChineseTo apply online, please click on the link. Alternatively, for a confidential discussion please contact Gillian Lam on +852 2232 3442 or gillian.lam@randstad.com.hk
    • permanent
    • HK$1,200,000 - HK$1,600,000, per year, Bonus
    • full-time
    about the companyOur client is a leading Investment Bank with a strong presence in APAC region. about the teamInternational, dynamic working environmentFast-paced cultureabout the jobMaintain the firm’s Watch and Restricted ListsPre-clear transactions from a conflict clearance and conflict management perspective, and escalating as necessaryManage Chinese Wall policy and procedures, including executing wall crossings where appropriatePre-clear Personal Account Dealing requestsMaintain and update transaction flows and timetables in deal management systemReview of Research Reports and any research publications against reputational and regulatory issues.Control of the flow of information between Research and Investment Banking departments to minimize the risk of unauthorized dissemination of material non-public information and to protect the independence of Research analystsMaintain and update research disclosuresEnsure control standards and monitoring are developed, maintained and completed in a timely mannerProvide relevant compliance control room input on policies owned by other groups, departments and businessesSupport information barrier surveillance functions including daily review, alerts and breach investigationskills & experiences requiredUniversity degree in finance, accounting, legal or other relevant disciplinesAt least 8-10 years of relevant Control Room, Research or IBD Compliance experience in Financial Services IndustryGood understanding of financial markets, product business areas, particularly research businessStrong analytical background, detail-oriented and project management skillsAbility to work under pressure wit strong decision making skillsStrong presentation and communication skills in fluent English and Chinese languagesTo apply online, please click on the link. Alternatively, for a confidential discussion please contact Rouella Landicho on + 852 2232 3479 or email: rouella.landicho@randstad.com.hk
    about the companyOur client is a leading Investment Bank with a strong presence in APAC region. about the teamInternational, dynamic working environmentFast-paced cultureabout the jobMaintain the firm’s Watch and Restricted ListsPre-clear transactions from a conflict clearance and conflict management perspective, and escalating as necessaryManage Chinese Wall policy and procedures, including executing wall crossings where appropriatePre-clear Personal Account Dealing requestsMaintain and update transaction flows and timetables in deal management systemReview of Research Reports and any research publications against reputational and regulatory issues.Control of the flow of information between Research and Investment Banking departments to minimize the risk of unauthorized dissemination of material non-public information and to protect the independence of Research analystsMaintain and update research disclosuresEnsure control standards and monitoring are developed, maintained and completed in a timely mannerProvide relevant compliance control room input on policies owned by other groups, departments and businessesSupport information barrier surveillance functions including daily review, alerts and breach investigationskills & experiences requiredUniversity degree in finance, accounting, legal or other relevant disciplinesAt least 8-10 years of relevant Control Room, Research or IBD Compliance experience in Financial Services IndustryGood understanding of financial markets, product business areas, particularly research businessStrong analytical background, detail-oriented and project management skillsAbility to work under pressure wit strong decision making skillsStrong presentation and communication skills in fluent English and Chinese languagesTo apply online, please click on the link. Alternatively, for a confidential discussion please contact Rouella Landicho on + 852 2232 3479 or email: rouella.landicho@randstad.com.hk
    • permanent
    • HK$100,000 - HK$120,000 per month
    • full-time
    about the companyOur client is a top-tier investment banking with global presenceabout the jobReporting to Group Head of Compliance Standardise/Establish Financial Crime Compliance framework for international/overseas business Provide regulatory and compliance advice on FCC related matters Review new business initiatives in respect to the international standard on AML, Sanctions, ABC, Fraud, FATCA, KYC Supervise FCC monitoring and approval process Liaise with regulators and external parties on enquiries, questionnaires, on-site inspection regarding FCC mattersskills & experiences requiredUniversity Degree in Law, Accounting, Economics, Finance or relevant disciplines Minimum 10 years FCC/Advisory experience. Experience in Investment banking is a must Experience in setting up Group or Regional FCC Framework from scratch would be an advantageStrong command in written and spoken Chinese and EnglishTo apply online, please click on the link. Alternatively, for a confidential discussion please contact Joanne Lo on + 852 2232 3421 or email: joanne.lo@randstad.com.hk
    about the companyOur client is a top-tier investment banking with global presenceabout the jobReporting to Group Head of Compliance Standardise/Establish Financial Crime Compliance framework for international/overseas business Provide regulatory and compliance advice on FCC related matters Review new business initiatives in respect to the international standard on AML, Sanctions, ABC, Fraud, FATCA, KYC Supervise FCC monitoring and approval process Liaise with regulators and external parties on enquiries, questionnaires, on-site inspection regarding FCC mattersskills & experiences requiredUniversity Degree in Law, Accounting, Economics, Finance or relevant disciplines Minimum 10 years FCC/Advisory experience. Experience in Investment banking is a must Experience in setting up Group or Regional FCC Framework from scratch would be an advantageStrong command in written and spoken Chinese and EnglishTo apply online, please click on the link. Alternatively, for a confidential discussion please contact Joanne Lo on + 852 2232 3421 or email: joanne.lo@randstad.com.hk
    • permanent
    • HK$60,000 - HK$100,000 per month
    • full-time
    about the companyOur client is an international investment bank, headquartered in the US. about the jobDaily monitoring and disclosure of traded securitiesPrepare disclosures and reporting to equity products (such as Large Shareholder, Short Position and Takeover Panel)Involve in sourcing and validating data for the firm’s large shareholder and short position databaseLiaise with business to confirm positionAssist in ad hoc projects and system enhancementsskills & experiences requiredUniversity Degree in Law, Accounting, Finance or relevant disciplinesExperience of preparing reports to equity productsCandidates from Big 4 are welcome Excellent English is a mustTo apply online, please click on the link. Alternatively, for a confidential discussion please contact Joanne Lo on + 852 2232 3421 or email: joanne.lo@randstad.com.hk
    about the companyOur client is an international investment bank, headquartered in the US. about the jobDaily monitoring and disclosure of traded securitiesPrepare disclosures and reporting to equity products (such as Large Shareholder, Short Position and Takeover Panel)Involve in sourcing and validating data for the firm’s large shareholder and short position databaseLiaise with business to confirm positionAssist in ad hoc projects and system enhancementsskills & experiences requiredUniversity Degree in Law, Accounting, Finance or relevant disciplinesExperience of preparing reports to equity productsCandidates from Big 4 are welcome Excellent English is a mustTo apply online, please click on the link. Alternatively, for a confidential discussion please contact Joanne Lo on + 852 2232 3421 or email: joanne.lo@randstad.com.hk
    • permanent
    • HK$60,000 - HK$70,000 per month
    • full-time
    about the companyOur client is a prestigious regional corporate bank providing premium banking services to their client. Currently are looking for a VP to join their Operational Risk Management Department in Hong Kong.about the teamYou will be working closely with team head. The bank offers a stable and team-orientated environment, competitive remuneration package.about the jobYou will: establish and maintain the bank's policies and procedures manual related to the operational risk management in compliance with the local regulatory requirementsplan, organize and execute in-office inspection functions and give suggestions to senior managementperform and coordinate the annual Risk and Control Self-Assessment (RCSA)support and manage Bank-wide Business Continuity Plan (BCP)skills & experiences required8+ years’ experience in operational risk management within banking and financial marketsgood knowledge of corporate banking operations, products and regulatory requirementsable to work independently and coach junior membersstrong data analytical skillsproficient in spoken and written Chinese and EnglishTo apply online, please click on the link. Alternatively, for a confidential discussion please contact Gillian Lam on +852 2232 3442 or gillian.lam@randstad.com.hk
    about the companyOur client is a prestigious regional corporate bank providing premium banking services to their client. Currently are looking for a VP to join their Operational Risk Management Department in Hong Kong.about the teamYou will be working closely with team head. The bank offers a stable and team-orientated environment, competitive remuneration package.about the jobYou will: establish and maintain the bank's policies and procedures manual related to the operational risk management in compliance with the local regulatory requirementsplan, organize and execute in-office inspection functions and give suggestions to senior managementperform and coordinate the annual Risk and Control Self-Assessment (RCSA)support and manage Bank-wide Business Continuity Plan (BCP)skills & experiences required8+ years’ experience in operational risk management within banking and financial marketsgood knowledge of corporate banking operations, products and regulatory requirementsable to work independently and coach junior membersstrong data analytical skillsproficient in spoken and written Chinese and EnglishTo apply online, please click on the link. Alternatively, for a confidential discussion please contact Gillian Lam on +852 2232 3442 or gillian.lam@randstad.com.hk
    • permanent
    • HK$60,000 - HK$80,000 per month
    • full-time
    about the companyA reputable corporate bank is now hiring a Senior Manager to lead their credit risk team in Hong Kong. You will work in a team of 3-4 and report to the Head of Risk. about the teamThe Bank offers a collaborative, supportive and stable work environment. about the jobYou will: be leading a small team and report to the Head of Risk. monitor, and enhance credit risk models and methodologies for wholesale credit portfolios to ensure compliance with regulatory requirements and internal standardsformulate and maintain credit risk policy and risk appetitereview and monitor IFRS9 Impairment models and conduct credit stress testing exerciseskills & experiences requiredminimum 10 years’ experience in credit risk management, credit portfolio risk experience in corporate bankGood knowledge in credit risk modelling Experience in conducting stress testing Strong data analytical skills, such as VBA, SQL or SASGood command of English and ChineseTo apply online, please click on the link. Alternatively, for a confidential discussion please contact Gillian Lam on +852 2232 3442 or gillian.lam@randstad.com.hk
    about the companyA reputable corporate bank is now hiring a Senior Manager to lead their credit risk team in Hong Kong. You will work in a team of 3-4 and report to the Head of Risk. about the teamThe Bank offers a collaborative, supportive and stable work environment. about the jobYou will: be leading a small team and report to the Head of Risk. monitor, and enhance credit risk models and methodologies for wholesale credit portfolios to ensure compliance with regulatory requirements and internal standardsformulate and maintain credit risk policy and risk appetitereview and monitor IFRS9 Impairment models and conduct credit stress testing exerciseskills & experiences requiredminimum 10 years’ experience in credit risk management, credit portfolio risk experience in corporate bankGood knowledge in credit risk modelling Experience in conducting stress testing Strong data analytical skills, such as VBA, SQL or SASGood command of English and ChineseTo apply online, please click on the link. Alternatively, for a confidential discussion please contact Gillian Lam on +852 2232 3442 or gillian.lam@randstad.com.hk
    • permanent
    • HK$80,000 - HK$100,000 per month
    • full-time
    about the companyOur client is a leading investment bank, securities and asset management group with substantial growth across the world. Being one of the top market players, they now looking for a market risk professional to join their team. about the teamThe bank provide a stable, supportive and well-structured work environment. Competitive salary package.about the jobYou will:Quantify risk of a potential loss of value in assets and liabilities due to changes in market variables, e.g. interest rates, equity and commodity prices.Perform scenario analysis and stress testing, Conduct ad-hoc and regular risk analysis as well deep dives into various risk themesAnalysis of aggregated risks and tail risk exposureFacilitation of efficient risk-return decisionsWork closely with front office with respect to risk appetite, risk limits and individual large and complex transactions.skills & experiences required6+ years of experience in market risk management, product control or risk reportGood knowledge in equities business and respective productsExcellent in VBA and data management skillsStrong communications skillsGood command of English To apply online, please click on the link. Alternatively, for a confidential discussion please contact Gillian Lam on +852 2232 3442 or gillian.lam@randstad.com.hk
    about the companyOur client is a leading investment bank, securities and asset management group with substantial growth across the world. Being one of the top market players, they now looking for a market risk professional to join their team. about the teamThe bank provide a stable, supportive and well-structured work environment. Competitive salary package.about the jobYou will:Quantify risk of a potential loss of value in assets and liabilities due to changes in market variables, e.g. interest rates, equity and commodity prices.Perform scenario analysis and stress testing, Conduct ad-hoc and regular risk analysis as well deep dives into various risk themesAnalysis of aggregated risks and tail risk exposureFacilitation of efficient risk-return decisionsWork closely with front office with respect to risk appetite, risk limits and individual large and complex transactions.skills & experiences required6+ years of experience in market risk management, product control or risk reportGood knowledge in equities business and respective productsExcellent in VBA and data management skillsStrong communications skillsGood command of English To apply online, please click on the link. Alternatively, for a confidential discussion please contact Gillian Lam on +852 2232 3442 or gillian.lam@randstad.com.hk
    • permanent
    • HK$1,100,000 - HK$1,600,000, per year, Bonus
    • full-time
    about the company Our client is a top tier Corporate and Investment Bank with a strong presence in the region. about the job You will monitor the changes and development on relevant local new laws, rules and regulationsYou will liaise with regulators and handle regulatory inquiries, audits, inspections, questionnaires and surveysHandle local compliance issues, incident, and breaches in conjunction with various internal parties, where necessary, and prepare various MIS and incident reportsPrepare and update local compliance policies and proceduresParticipate in various local compliance governance meetings and compliance projects in relation to Global Markets ComplianceReview new business and product proposals or transactions and approve in accordance with delegated authorityRespond promptly to enquiries on compliance related mattersPeriodic review, update and introduction of Compliance policy and procedures to ensure continuing relevance; and provide guidance, interpretation and direction to business stakeholdersAssist business stakeholders and various compliance teams to keep abreast of regulatory developments and in the interpretation of regulatory changes and their likely impact on the business and its processes, procedures, controls and products (gap analysis) skills & experiences required Bachelor degree holder or equivalent educational experienceMinimum 8 to 10+ years’ experience working in financial services industryStrong knowledge of FICC market structures, products (specifically FX and Rates products) Knowledge of China and Hong Kong banking regulations, including CBRC, PBOC, CSRC, SAFE and HKMA laws and regulations - an added advantageAbility to multi-task and independently drive responses to regulatory/exchange compliance issues/queriesSolid awareness of controls and governanceOutstanding interpersonal and communication skills Strong communication and presentation skills in fluent English and Chinese languages To apply online, please click on the link below. Alternatively, for a confidential discussion please contact Rouella Landicho on + 852 2232 3479 or email: rouella.landicho@randstad.com.hk
    about the company Our client is a top tier Corporate and Investment Bank with a strong presence in the region. about the job You will monitor the changes and development on relevant local new laws, rules and regulationsYou will liaise with regulators and handle regulatory inquiries, audits, inspections, questionnaires and surveysHandle local compliance issues, incident, and breaches in conjunction with various internal parties, where necessary, and prepare various MIS and incident reportsPrepare and update local compliance policies and proceduresParticipate in various local compliance governance meetings and compliance projects in relation to Global Markets ComplianceReview new business and product proposals or transactions and approve in accordance with delegated authorityRespond promptly to enquiries on compliance related mattersPeriodic review, update and introduction of Compliance policy and procedures to ensure continuing relevance; and provide guidance, interpretation and direction to business stakeholdersAssist business stakeholders and various compliance teams to keep abreast of regulatory developments and in the interpretation of regulatory changes and their likely impact on the business and its processes, procedures, controls and products (gap analysis) skills & experiences required Bachelor degree holder or equivalent educational experienceMinimum 8 to 10+ years’ experience working in financial services industryStrong knowledge of FICC market structures, products (specifically FX and Rates products) Knowledge of China and Hong Kong banking regulations, including CBRC, PBOC, CSRC, SAFE and HKMA laws and regulations - an added advantageAbility to multi-task and independently drive responses to regulatory/exchange compliance issues/queriesSolid awareness of controls and governanceOutstanding interpersonal and communication skills Strong communication and presentation skills in fluent English and Chinese languages To apply online, please click on the link below. Alternatively, for a confidential discussion please contact Rouella Landicho on + 852 2232 3479 or email: rouella.landicho@randstad.com.hk
    • permanent
    • HK$1,100,000 - HK$1,600,000, per year, Bonus
    • full-time
    about the company Our client is a top tier Corporate and Investment Bank with a strong presence in the region. about the job You will monitor the changes and development on relevant local new laws, rules and regulationsYou will liaise with regulators and handle regulatory inquiries, audits, inspections, questionnaires and surveysHandle local compliance issues, incident, and breaches in conjunction with various internal parties, where necessary, and prepare various MIS and incident reportsPrepare and update local compliance policies and proceduresParticipate in various local compliance governance meetings and compliance projects in relation to Global Markets ComplianceReview new business and product proposals or transactions and approve in accordance with delegated authorityRespond promptly to enquiries on compliance related mattersPeriodic review, update and introduction of Compliance policy and procedures to ensure continuing relevance; and provide guidance, interpretation and direction to business stakeholdersAssist business stakeholders and various compliance teams to keep abreast of regulatory developments and in the interpretation of regulatory changes and their likely impact on the business and its processes, procedures, controls and products (gap analysis) skills & experiences required Bachelor degree holder or equivalent educational experienceMinimum 8 to 10+ years’ experience working in corporate bank or investment bankStrong knowledge of FICC market structures, products (specifically FX and Rates products) Knowledge of China and Hong Kong banking regulations, including CBRC, PBOC, CSRC, SAFE and HKMA laws and regulations - an added advantageAbility to multi-task and independently drive responses to regulatory/exchange compliance issues/queriesSolid awareness of controls and governanceOutstanding interpersonal and communication skills Strong communication and presentation skills in fluent English and ideally Mandarin To apply online, please click on the link below. Alternatively, for a confidential discussion please contact Rouella Landicho on + 852 2232 3479 or email: rouella.landicho@randstad.com.hk
    about the company Our client is a top tier Corporate and Investment Bank with a strong presence in the region. about the job You will monitor the changes and development on relevant local new laws, rules and regulationsYou will liaise with regulators and handle regulatory inquiries, audits, inspections, questionnaires and surveysHandle local compliance issues, incident, and breaches in conjunction with various internal parties, where necessary, and prepare various MIS and incident reportsPrepare and update local compliance policies and proceduresParticipate in various local compliance governance meetings and compliance projects in relation to Global Markets ComplianceReview new business and product proposals or transactions and approve in accordance with delegated authorityRespond promptly to enquiries on compliance related mattersPeriodic review, update and introduction of Compliance policy and procedures to ensure continuing relevance; and provide guidance, interpretation and direction to business stakeholdersAssist business stakeholders and various compliance teams to keep abreast of regulatory developments and in the interpretation of regulatory changes and their likely impact on the business and its processes, procedures, controls and products (gap analysis) skills & experiences required Bachelor degree holder or equivalent educational experienceMinimum 8 to 10+ years’ experience working in corporate bank or investment bankStrong knowledge of FICC market structures, products (specifically FX and Rates products) Knowledge of China and Hong Kong banking regulations, including CBRC, PBOC, CSRC, SAFE and HKMA laws and regulations - an added advantageAbility to multi-task and independently drive responses to regulatory/exchange compliance issues/queriesSolid awareness of controls and governanceOutstanding interpersonal and communication skills Strong communication and presentation skills in fluent English and ideally Mandarin To apply online, please click on the link below. Alternatively, for a confidential discussion please contact Rouella Landicho on + 852 2232 3479 or email: rouella.landicho@randstad.com.hk

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