All jobs near Asia in the Legal and Compliance sector

Found 24 jobs
    • Hong Kong
    • Negotiable
    • Posted 2 days ago

    General job Description Report directly to the Head of Compliance (or COO for HF) regarding general compliance matters Update and improve the company's legal compliance policies and procedures Review the firm's various functions in compliance with regulatory requirements, identify regulatory risk...

    • Hong Kong
    • Negotiable
    • Posted 4 days ago

    Responsibilities General Compliance mandates Reviewing marketing materials Maintaining and developing the compliance program/policies (SFC) Conduct AML/CFT Sanctions related task Providing compliance advice to the business Compliance monitoring and liaising with regulators Requirement The success...

    • Hong Kong
    • HK$800000 - HK$800001 per annum
    • Posted 6 days ago

    Job Responsibilities: Support daily investment operations including reconciliation, valuation check, corporate action handling, pricing and security data maintenance Handle the fund operations for SFC authorised funds and oversight of fund administrators Assist in internal KPI reporting and manag...

    • Hong Kong
    • Negotiable
    • Posted 8 days ago

    ABOUT Opening to join the compliance team in Hong Kong to support the law firm across Dubai, Hong Kong and Singapore. The work is focuses on AML/CFT and Sanctions work on new and existing clients. REQUIREMENTS The role will require a strong knowledge of the BVI, Cayman and Dubai AML/CTF law and g...

    • Hong Kong
    • Negotiable
    • Posted 8 days ago

    Duties: Analyse regulatory requirements and translate those requirements into compliance rules in the firms' compliance systems; Handle licensing/regulatory applications and regulatory filings required by SFC, SEC, NFA etc and ensure timely submission thereof; Conduct compliance review, monitorin...

    • Hong Kong
    • Negotiable
    • Posted 13 days ago

    Responsibilities: Assist in Corporate, Finance and Capital Markets matters Prepare, translate and draft Corporate documents including but not limited to share transfer form, consent to act, resignation letter Liaise with and communicate with external counsel and clients for due diligence and comp...

    • Hong Kong
    • Negotiable
    • Posted 14 days ago

    Job Responsibilities Lead team to perform compliance functions and report directly to the head of APAC Compliance in Singapore To establish and modify AML/regulatory compliance framework Primary contact point with (SFC) on enquiries, questionnaires, inspection etc Review and approve fund distribu...

    • Hong Kong
    • Negotiable
    • Posted 20 days ago

    Job Responsibilities Act as the manager-in-charge (MIC) of Compliance, develop, maintain and review Legal & Compliance framework to ensure the company continually understands and meets the Hong Kong legal and regulatory requirements. Setting up compliance standards, policies, procedures and strat...

    • Hong Kong
    • Negotiable
    • Posted 20 days ago

    Job Responsibilities As an influential member of the team, you will carry out the Regulatory compliance monitoring programme on a risk-based approach. Below are the mainly objectives of your role: Develop, review and enforce compliance programmes in accordance with the policies and guidelines of ...

    • Hong Kong
    • Negotiable
    • Posted 21 days ago

    Responsibilities: Review and update compliance monitoring programmes and framework Formulate regulatory compliance review plans and facilitate regulatory reviews Act as subject matter in compliance monitoring policies and procedures Work with other departments in enhance compliance awareness inte...

    • Hong Kong
    • Negotiable
    • Posted 23 days ago

    Responsibilities: Advise internal business units across sales & trading, asset management and corporate finance from a legal perspective Draft and negotiate agreements and documents Advise and assist senior management on different regional initiatives and projects Works closely and advise externa...

    • Hong Kong
    • Negotiable
    • Posted 23 days ago

    Responsibilities Provide regulatory updates to the business units Review policies and procedures, compliance manuals in accordance with applicable regulations Provide support in dealing with regulators Trade and communications surveillance Required Degree holder with 3+ years of experience in com...

    • Hong Kong
    • Negotiable
    • Posted 27 days ago

    Job Responsibility Leading the compliance function in Hong Kong and being a trusted advisor to Partners, other fee earners, and business professionals. Report to, and liaise with, local regulators as appropriate Report directly to Head of International Compliance Job Requirement Qualified lawyer ...

    • Singapore
    • Negotiable
    • Posted 29 days ago

    Responsibilities: Advise Sales, Structuring and Trading team on the legal aspect of equity derivatives transactions, securities financing transactions, hedging transactions, etc Draft and review OTC and collateral agreements including ISDA Master Agreement and Credit Support Annex Advise jurisdic...

    • Singapore
    • Negotiable
    • Posted 29 days ago

    Responsibilities: Advise Sales, Structuring and Trading team on the legal aspect of equity derivatives transactions, securities financing transactions, hedging transactions, etc Draft and review OTC and collateral agreements including ISDA Master Agreement and Credit Support Annex Advise jurisdic...

    • Beijing
    • Negotiable
    • Posted about 1 month ago

    Responsibilities: Provide legal advice to business units on data privacy requirements Develop and improve internal data privacy framework and policies to enhance data integrity Draft and review documents related to personal data transfer across jurisdictions Coordinate with external counsels in d...

    • Hong Kong
    • Negotiable
    • Posted about 1 month ago

    Responsibilities: Advise investment teams on transaction execution across APAC including drafting, reviewing, and negotiating legal documentation associated with investment and divestment activities of the group Coordinate and manage legal aspect of the group's investment fund raising and fund op...

    • Hong Kong
    • Negotiable
    • Posted about 1 month ago

    RESPONSIBILITIES: * Managing a portfolio of clients regulated by the SFC, SEC and other global regulators * Preparing compliance manuals and other related policies and procedures * Setting up the compliance infrastructure and assisting ongoing compliance monitoring * Undertaking periodic complian...

    • Hong Kong
    • Negotiable
    • Posted about 2 months ago

    Job Description: Pre and post trade monitoring using the Bloomberg System Report directly to the Head of compliance whilst working alongside other colleagues Be a part of the investment compliance team looking at trades and suitability checks Job Requirement: At least 7 years of Investment Compli...

    • Hong Kong
    • Negotiable
    • Posted about 2 months ago

    Job Description: Provide compliance advice to Front Office Sales team Review and standardise sales and marketing materials from product and regulatory perspectives and ensure information was not exaggerated/mislead Primary contact point with regulators (SFC and HKEx) on enquiries, questionnaires,...

    • Hong Kong
    • Negotiable
    • Posted about 2 months ago

    Job Description: Maintain the daily working relationship with SFC and other regulatory bodies Perform compliance review planned in the annual compliance review plan Perform the annual assessment of internal controls governing sponsor work. Monitor and track the remediation actions suggested in th...

    • Hong Kong
    • Negotiable
    • Posted about 2 months ago

    Job description: Assist to maintain the AML/ CFT control and governance framework AML transaction monitoring Maintain and timely update operational manuals and guidelines related to AML/ CFT to be line with local law, regulation or Group policy Conduct quality assurance Job requirement: bachelor ...

    • Hong Kong
    • US$600000 - US$600001 per annum
    • Posted about 2 months ago

    Job Description: Advise departments on compliance matters and support business initiatives Update company's policies and procedures according to the regulatory changes Responsible for regulatory reporting and inquires with external regulators Develop, manage and carry out compliance testing Revie...

    • Hong Kong
    • Negotiable
    • Posted about 2 months ago

    Responsibilities: Advise internal business units on personal data protection regulations and cybersecurity issues Prepare and negotiate documents on data privacy Implement data protection compliance strategies and advise on improving existing global privacy framework and operations procedures Pro...

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