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Senior Compliance Manager (AML Advisory & Investigation /General/ Operation...

by Lu Yim in Banking & Financial Services    17th Jan, 2020    HKD 50k - HKD 100k

Our client is a reputable banking group and looking for high calibre candidate to join their team.

  • You need to carry out the compliance monitoring programmes on high-risk operations, performing scheduled branch visit and response for the review/ monitoring of the compliance project
  • Monitor the implementation progress of agreed actions by business units to ensure timely compliance with the regulatory requirement
  • Providing the compliance training activities
  • Provide recommendations on compliance issues and findings being identified
  • Follow up the implementation of recommendations issued
  • Assist in planning, developing and designing the compliance monitoring programmes / compliance review / self-assessment

Senior Vice President Anti-Money Laundering Advisory

by Lu Yim in Banking & Financial Services    17th Jan, 2020    HKD 60k - HKD 120k

Our client is a reputable banking group and looking for high calibre candidate to join their team.

  • Responsible for handling anti-money laundering (“AML”) and counter-terrorist financing (“CFT”) compliance issue
  • Provide country feedbacks to any revisions on Group AML / CFT standards, including but not limit to customer due diligence, correspondent banking and economic sanctions, and assist business units, support units and own team to fully comply with latest requirements and standards
  • Assess impact of regulatory changes and advise on updates to compliance policies whenever required
  • To provide AML advisory support
  • To review and comment on the Bank's manuals, policies and guidelines
  • To develop and conduct internal AML compliance training sessions

Compliance Director/ Senior Compliance Manager

by Lu Yim in Banking & Financial Services    17th Jan, 2020    HKD 70k - HKD 120k

Our client is a well established financial services firm. We are now seeking a Compliance Director who will maintain various compliance policies and procedures.

·         Mainly be responsible for Type 1 regulated activities

·         Responsible for the regulatory compliance of the Investment and Securities businesses in Hong Kong

·         Work closely with in-house legal dept. and colleagues to complete individual tasks.

·         Developing and monitoring effectiveness of the existing compliance function

·         Provide advice to senior management regarding financing, compliance, regulatory matters.

·         Identify changes in legislation or regulatory environment and communicate on their impact

·         Review policies, guidelines, procedures and practices on an ongoing basis.

·         Perform a variety of legal activities in accordance with the established standards of the SFC, both policies and procedures

·         Direct report to GM

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