Jobs: compliance

Why join us Forvis Mazars is a leader in audit, tax and advisory services worldwide, operating across 100+ countries and territories. Join us to grow your career through global opportunities, diverse projects, and continuous learning. Belong to a supportive environment where your unique perspective is valued, and success comes from teamwork. Impact with...

Why join us Forvis Mazars is a leader in audit, tax and advisory services worldwide, operating across 100+ countries and territories. Join us to grow your career through global opportunities, diverse projects, and continuous learning. Belong to a supportive environment where your unique perspective is valued, and success comes from teamwork. Impact with...

Position DescriptionCITIC CLSA’s Compliance Department is responsible for ensuring that CITIC CLSA complies with applicable laws, rules, and regulations. This includes providing advisory services to CITIC CLSA businesses, training employees on regulatory requirements applicable to their activities, and monitoring CITIC CLSA’s ongoing compliance with...

Position DescriptionCITIC CLSA’s Compliance Department is responsible for ensuring that CITIC CLSA complies with applicable laws, rules, and regulations. This includes providing advisory services to CITIC CLSA businesses, training employees on regulatory requirements applicable to their activities, and monitoring CITIC CLSA’s ongoing compliance with...

CITIC CLSA’s Compliance Department is responsible for ensuring that CITIC CLSA complies with applicable laws, rules, and regulations. This includes providing advisory services to CITIC CLSA businesses, training employees on regulatory requirements applicable to their activities, and monitoring CITIC CLSA’s ongoing compliance with requirements. The...

Position DescriptionThis senior Compliance position is part of the Equities Compliance team reporting into the Head of Equities Compliance. Equities Compliance team provides compliance coverage to CSI Institutional Equities (Sales and Trading) Business and Equities Derivatives Department. Key Areas of ResponsibilitiesAdvisory – Provide advice on regulatory...

Position DescriptionThis senior Compliance position is part of the Equities Compliance team reporting into the Head of Equities Compliance. Equities Compliance team provides compliance coverage to CSI Institutional Equities (Sales and Trading) Business and Equities Derivatives Department. Key Areas of ResponsibilitiesAdvisory – Provide advice on regulatory...

Senior Compliance Manager, Equities Compliance Join to apply for the Senior Compliance Manager, Equities Compliance role at CLSA This senior Compliance position is part of the Equities Compliance team reporting into the Head of Equities Compliance. Equities Compliance team provides compliance coverage to CSI Institutional Equities (Sales and Trading)...

Overview Compliance Manager (Compliance Division) – Bank of China (Hong Kong) Responsibilities Provide advice to business segment (primarily corporate banking) on regulatory requirements Collaborate closely with relevant stakeholders and participate/assist in regulatory compliance-related projects, product initiatives and system launch / enhancement, etc....

Overview About United Stables United Stables Limited is introducing a new stablecoin, $U , with the ambition of redefining the global layer of money. $U is designed to construct a unified monetary layer by consolidating fragmented liquidity across multiple use cases, including exchange trading, wealth management, payments, DeFi, institutional settlement, and...

Overview Our thriving Hong Kong Practice is looking for a Compliance Consultant to join the team to deliver high quality compliance support to our Asset Management / Funds clients in Hong Kong, Mainland China and overseas. The successful candidate will also participate in marketing and business development, assist with technical research and the production...

Proficiency in using Microsoft office Provide advice to business segment Degree holder or above in Law, Banking and Finance Responsibilities Provide advice to business segment (primarily corporate banking) on regulatory requirements Collaborate closely with relevant stakeholders and participate/assist in regulatory compliance-related projects, product...

Recruiting Entity: RA149 Licensed Corporation Recruiting Position: Compliance Officer / Compliance Manager Level: Junior to Middle Level Company Background The company is a licensed corporation under the SFC, holding Type 1, 4, and 9 licenses. With our in-depth understanding of both the Hong Kong and international capital markets, combined with a...

15 months+ salary per annum Assist to review and approve marketing materials 1-2 years of compliance or relevant experience Responsibilities Assist to review and approve marketing materials and provide necessary recommendations Assist to establish compliance monitoring program on the Company’s various activities, products and workflows to ensure the...

Responsibilities Assist to supervise licensing related works and offer advice on licensing issues Providecompliance advice to thedifferent business units in relation to securities brokerage and wealth management business Review and advise on legal and compliance contracts and documentation Handle and implement compliance requests with internal stakeholders...

A leading compliance consulting firm in Hong Kong is looking for Responsible Officers for various SFC licensing roles. Applicants should have experience as Responsible Officers or in relevant financial services roles. Fluency in Mandarin is highly valued, as most clients are native Mandarin speakers. The firm offers competitive packages for qualified...

Overview You can now search for people on SEEK. Make your profile public so you can be found by more employers. Update profile visibility We are a leading compliance consulting firm in Hong Kong serving hundreds of SFC-licensed corporations and those companies applying for SFC corporate licenses. As part of the application process, our clients need to hire...

Job level: Entry level Start date: July/September 2026   About this role The Research Compliance team is a dynamic and innovative function which enables the expansion of our fastest-growing business segments globally. As the Research Compliance Associate you will report into the Research Compliance Manager based in Hong Kong and work alongside the Research...

Position DescriptionThis senior Compliance position is part of the Equities Compliance team reporting into the Head of Equities Compliance. Equities Compliance team provides compliance coverage to CLSA Institutional Equities (Sales and Trading) Business and Equities Derivatives Department.Key Areas of ResponsibilitiesParticipate to the update of compliance...

Position Description The IBD Compliance has overall responsibility for ensuring CSI complies with its own internal policies and procedures, and all applicable legal and regulatory requirements, including the Securities & Futures Ordinance, Corporate Finance Adviser Code of Conduct, Listing Rules, Takeover Code and Regulation of Sponsors and Compliance...