Head of Compliance

Found in: Talent HK C2 - 2 weeks ago

Hong Kong, Hong Kong SAR China Interactive Brokers Full time

Responsibilities

: 

Reporting to the Head of Core Compliance-APAC, the Head of Compliance-Hong Kong will oversee and advise on all Hong Kong-related compliance and regulatory matters, including:

Being the primary liaison to the SFC exchanges and other regulatory bodies;Researching, interpreting and advising the firm regarding compliance with laws, regulations and guidance applicable to brokers in the region;Managing the implementation or upkeep of strategies and framework for complying with SFC and exchange requirements for all regulated activities;Assisting in the crafting of written instructions for programmers and technology staff to facilitate changes required to be made as a result of regulatory changes or other regulator reasons;Drafting and implementing firm policies and written supervisory procedures;Managing all relevant regulatory inspection and audit reviews (both internal and external), including developing and implementing the appropriate remedial action plans to address any findings.

Required Qualifications and Skills:

Must be a self-starter with strong analytical skills and able to work collaboratively;Superior organizational skills with the ability to prioritize and work independently in a dynamic and fast-paced working environment;The ability to manage a small team and take ownership of projects and tasks with minimal supervision;Proven experience and track record at a financial services regulatory agency, exchange or licensed financial services firm;Familiarity with the Hong Kong regulatory process, rules and codes;Possess a “can do” attitude and willingness to learn;Strong technical orientation and be comfortable with computers and technology as applied to trading, surveillance and compliance;Fluency in English and Cantonese (both written and spoken) is essential.

Company Benefits & Perks

Competitive Salary, annual performance-based bonus and stock grantExcellent health and welfare benefits, including medical, dental, specialist and in-patient Competitive package of Annual LeaveDaily lunch is ordered in-house with a fully stocked kitchenModern offices with multi-monitor setupsGreat work-life balanceUnique opportunity to gain exposure to global financial products, markets and clienteleOpportunities for career progression and job scope expansion in a global company with a growing local presenceHybrid work arrangement role permitting

  • Head of Legal and Compliance

    Found in: Talent HK C2 - 2 weeks ago

    Hong Kong, Hong Kong SAR China ALS International Full time

    Head of Legal and Compliance document.title = "Head of Legal and Compliance – ALS Internatioal";var addthis_share = { title: "Head of Legal and Compliance – ALS Internatioal"} Date: Mar 31, 2023 Location: Hong Kong, UK Ref: 20035 Job ID: 20035 Job Location: Hong Kong, UK About Our Client ...

  • Head of Compliance

    3 weeks ago

    Hong Kong, Hong Kong SAR China Unicorn Advisor (HK) Limited Full time

    Will be working along with head of legal Needs to have strong global markets (sales and trading) SFC compliance leadership experiences.

  • Head of Compliance, Hong Kong

    3 weeks ago

    Hong Kong, Hong Kong SAR China QBE Insurance Full time

    Primary Details Time Type: Full time Worker Type: Employee Primary Responsibilities Ensure appropriate and relevant advice is provided to Senior Leadership on the management of regulatory changes within the Industry Ensure corporate compliance with requisites prescribed by the laws, the Insurance Authority, Company Registry, Inland Revenue, and...

  • Senior Risk

    3 weeks ago

    Hong Kong, Hong Kong SAR China The Bank of East Asia Full time

        Senior Risk & Compliance Manager – Section Head (Trustee & MPF) (Job ID 4038) Responsibilities Plan, organise, lead and control the activities of Risk & Compliance Section Ensure that the operations of pension and trust businesses comply with the applicable legislation, rules and guidelines issued by the regulatory authorities Ensure that the...

  • HK - Head of Global Compliance and Standards, G6

    Found in: Talent HK C2 - 1 day ago

    Hong Kong, Hong Kong SAR China Foreign, Commonwealth & Development Office Full time

    The British Government is an inclusive and diversity-friendly employer. We value difference, promote equality and challenge discrimination, enhancing our organisational capability. We welcome and encourage applications from people of all backgrounds. We do not discriminate on the basis of disability, race, colour, ethnicity, gender identity, religion, sexual...

  • Head of Legal

    3 weeks ago

    Hong Kong, Hong Kong SAR China Manpower Full time

    Responsibilities: • Provide practical legal and compliance advice support to front and middle back office • Conduct legal research, analyze legal and compliance issues and advise on any workable resolutions • Review and advise commercial contracts and documents  • Liaise and manage external legal consultants and counsels to manage any litigations...

  • Head of Compliance, Leading Electronic Trading Platform

    Found in: beBee jobs HK - 2 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China Randstad Hong Kong Full time

    about the company Our client is a global leading electronic trading platform with strong presence overseas and expanding in APAC region. about the team A team of 5+ in Hong Kong Regulatory ComplianceDynamic, international working environmentStable working environment with low turnover rate in record about the job You will be responsible for Hong Kong...

  • Head of Markets Compliance

    Found in: beBee jobs HK - 3 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China Randstad Hong Kong Full time

    about the company.our client is one of the market lending crypto exchange platform globally about the job.To set up a Markets Compliance function for APAC business Design and establish a workflow for markets complianceProvide advice to sales and trading desks on regulatory interpretation and compliance issue Review manuals/compliance notices and...

  • AML/Compliance, Crypto

    4 days ago

    Hong Kong, Hong Kong SAR China WilsonHCG Hong Kong Full time

    Established crypto platform is seeking a compliance professional to be responsible for a broad range of AML and compliance responsibilities. You will work closely with compliance colleagues globally as well as the team Head. You will also act as MLRO at some point in the future. The successful candidate will have at least 8-10 years of AML/compliance...

  • Head

    Found in: Talent HK C2 - 1 week ago

    Hong Kong, Hong Kong SAR China City University of Hong Kong Full time

    Head of Department of Social and Behavioural Sciences [Ref. C//09] City University of Hong Kong is a dynamic university located in the heart of Hong Kong. As a publicly funded institution, our goals are to pursue high levels of excellence, promote innovation and nurture creativity with the aim to improve people’s lives. In a city where East meets...

  • Senior Manager, Compliance

    Found in: Talent HK C2 - 4 days ago

    Hong Kong, Hong Kong SAR China Prudential plc Full time

    Prudential’s purpose is to be partners for every life and protectors for every future. Our purpose encourages everything we do by creating a culture in which diversity is celebrated and inclusion assured, for our people, customers, and partners. We provide a platform for our people to do their best work and make an impact to the business, and we support...

  • AML/Compliance, Crypto Platform

    3 weeks ago

    Hong Kong, Hong Kong SAR China WilsonHCG Hong Kong Full time

    Established and growing crypto platform is seeking a compliance professional to be responsible for a broad range of AML and compliance responsibilities. You will work closely with compliance colleagues globally as well as the team Head. This person will eventually take on MLRO responsibilities. The successful candidate will have at least 6-10 years of...

  • Head of Compliance – Digital Asset Exchange

    Found in: Talent HK C2 - 1 week ago

    Hong Kong, Hong Kong SAR China The Edge Partnership Full time

    Key responsibilities Take responsibility for the organization’s Compliance framework and function. Lead a team to develop policies procedures, solutions and lead any remediation of compliance gaps to completion, including but not limited to AML, market surveillance, regulatory compliance, etc. Take ownership of regulatory matters for the business,...

  • Compliance Manager

    Found in: Talent HK C2 - 1 week ago

    Hong Kong, Hong Kong SAR China The Bank of East Asia Full time

    Responsibilities Prepare annual compliance review plan Conduct compliance reviews and self-assessments Prepare regular management reports on compliance updates and issues Provide recommendations to strengthen the Bank’s control framework and follow up the implementation of recommendations given Communicate regularly with AMLD/CECD on latest...

  • Head of Risk

    3 weeks ago

    Hong Kong, Hong Kong SAR China TEKsystems Hong Kong Full time

    Our client, a leading international insurance company, are looking for a head of risk to join their team. They are currently running initiatives across APAC and require some support locally in Hong Kong to represent the business here. This person will work across first, second and third line of defense. Candidates must have: 10+ years of working...

  • Compliance Manager

    Found in: beBee jobs HK - 2 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China Zurich Insurance Company Ltd. Full time

    Assist the Head of Compliance to promote ethical and proper business practices. Support in development, implementation and monitoring of compliance programs and training. Provide compliance advice to business units. And assist in counseling the business on matters of risk affecting the overall reputation and public image of the organization.Job...

  • Compliance Manager

    3 weeks ago

    Hong Kong, Hong Kong SAR China Bank Of China (Hong Kong) Limited Full time

    Responsibilities: Provide advisory services to business units (including retail banking, corporate banking and global markets) regarding regulatory compliance issues on new products/ services and business propositions Participate and assist in regulatory compliance-related projects, initiatives and system launch / enhancement Review policies and...

  • Head of Risk Management

    Found in: beBee jobs HK - 3 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China Selby Jennings Full time

    Our client is seeking a highly skilled and experienced individual to join their team as the Head of Risk Management. This position is based in Hong Kong and offers an exciting opportunity to work with a leading wealth and asset management firm. Responsibilities as Head of Risk:Monitor and manage various risks across the company's businesses and investment...

  • Compliance Manager

    Found in: Talent HK C2 - 2 weeks ago

    Hong Kong, Hong Kong SAR China Zurich Insurance Company Full time

    Assist the Head of Compliance to promote ethical and proper business practices. Support in development, implementation and monitoring of compliance programs and training. Provide compliance advice to business units. And assist in counseling the business on matters of risk affecting the overall reputation and public image of the organization. Job...

  • Head of Risk

    Found in: Talent HK C2 - 2 weeks ago

    Hong Kong, Hong Kong SAR China TEKsystems Full time

    Job Summary Our client, a leading international insurance company, are looking for a head of risk to join their team. They are currently running initiatives across APAC and require some support locally in Hong Kong to represent the business here. This person will work across first, second and third line of defense. Candidates must have:  10+...