Head of Compliance, Leading Electronic Trading Platform
Found in: beBee jobs HK - 2 weeks ago
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 compliance, which encompasses providing regulatory guidance for existing and new business - particularly in relation to electronic trading and operating ATS of equity securitiesDevelop, maintain and enhance compliance controls, monitoring and supervisory policies and plansIdentifying compliance and regulatory areas of vulnerability, and support evaluation and resolution for management and the Board of DirectorsYou will also have the responsibility for all regulatory audits, interacting directly with Hong Kong SFC, Hong Kong Stock Exchange and other applicable regulatory authoritiesYou will review all new regulatory proposals to assess and advise on potential impact on the FirmRegulatory foresight and planning, review of all marketing and communications and you will also be responsible for the market monitoring and surveillance function, including alert management skills & experiences required At least 8+ years of relevant compliance experience in SFC-regulated entitiesKnowledge of the securities industry and trading business, as well as the applicable regulations, market practice and requirementsExperience in establishing/reviewing compliance processes and drafting compliance policies and proceduresSolid understanding of trading technologyLegal Qualification/Education would be an advantage Commercial mindset and ability to learn new businessStrong work ethic and hands-on approachStrong leadership and communication skillsHigh proficiency in written and spoke English and Chinese To apply online, please click on the link above. Alternatively, for a confidential discussion please contact Joanne Lo on or email: key responsibilities Responsible for Hong Kong compliance, which encompasses providing regulatory guidance for existing and new business - particularly in relation to electronic trading and operating ATS of equity securitiesDevelop, maintain and enhance compliance controls, monitoring and supervisory policies and plans
Identifying compliance and regulatory areas of vulnerability, and support evaluation and resolution for management and the BOD
Responsibility for regulatory audits and interacting with SFC/HKEX
experience 8 years
skills general compliance, regulatory compliance, electronic trading, international, head of compliance, SFC
qualifications 8+ years compliance experience in SFC-regulated entities
Knowledge of the securities industry and trading business, applicable regulations
Exp in establishing compliance P&P
English & Chinese
education Bachelor Degree
-
Director, Client Services Manager, Global Markets Platform and Electronic Trading, Hong Kong
Found in: beBee jobs HK - 2 weeks ago
Hong Kong, Central and Western District, Hong Kong SAR China Bank of America Full timeJob Description:At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. Responsible Growth is how we run our company and how we deliver for our clients, teammates, communities, and shareholders every day.One of the keys to driving Responsible Growth is being a great place to work for...
-
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 timeabout 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...
-
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 timeOur 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...
-
Legal and Compliance, Assistant Manager
Found in: beBee jobs HK - 3 weeks ago
Hong Kong, Central and Western District, Hong Kong SAR China Randstad Hong Kong Full timeabout the company.Our client is a leading financial services provider that offers clearing and settlement services to all banks in Hong Kong. They are recognized as one of the top-tier companies in the the team.You will be joining a friendly and highly skilled team of three individuals who possess a strong background and expertise in their respective the...
-
Head of the Department of English Language Education
Found in: beBee jobs HK - 3 weeks ago
Hong Kong, Central and Western District, Hong Kong SAR China The Education University of Hong Kong Full timeThe Education University of Hong Kong (EdUHK)Founded in 1994 and awarded the University title in 2016, The Education University of Hong Kong (EdUHK) is a publicly funded university, dedicated to the advancement of teacher education and related disciplines through a diverse offering of academic, professional and research programmes. Approaching its 30th...
-
Head of the Department of Health and Physical Education
Found in: beBee jobs HK - 3 weeks ago
Hong Kong, Central and Western District, Hong Kong SAR China The Education University of Hong Kong Full timeThe Education University of Hong Kong (EdUHK)Founded in 1994 and awarded the University title in 2016, The Education University of Hong Kong (EdUHK) is a publicly funded university, dedicated to the advancement of teacher education and related disciplines through a diverse offering of academic, professional and research programmes. Approaching its 30th...
-
Head of the Department of Special Education and Counselling
Found in: beBee jobs HK - 3 weeks ago
Hong Kong, Central and Western District, Hong Kong SAR China The Education University of Hong Kong Full timeThe Education University of Hong Kong (EdUHK)Founded in 1994 and awarded the University title in 2016, The Education University of Hong Kong (EdUHK) is a publicly funded university, dedicated to the advancement of teacher education and related disciplines through a diverse offering of academic, professional and research programmes. Approaching its 30th...
-
Head of the Department of Education Policy and Leadership
Found in: beBee jobs HK - 3 weeks ago
Hong Kong, Central and Western District, Hong Kong SAR China The Education University of Hong Kong Full timeThe Education University of Hong Kong (EdUHK)Founded in 1994 and awarded the University title in 2016, The Education University of Hong Kong (EdUHK) is a publicly funded university, dedicated to the advancement of teacher education and related disciplines through a diverse offering of academic, professional and research programmes. Approaching its 30th...
-
Head of Legal
Found in: beBee jobs HK - 3 days ago
Hong Kong, Central and Western District, Hong Kong SAR China Space Executive Full timeCompany Overview:We are a leading venture capital firm at the forefront of the Web3 revolution, dedicated to investing in innovative projects within the crypto and decentralized technology space. With a proven track record of fostering growth in our portfolio companies, we possess a strong mandate from our investors to strategically deploy capital and...
-
Compliance Manager
Found in: beBee jobs HK - 3 weeks ago
Hong Kong, Central and Western District, Hong Kong SAR China Zurich Insurance Company Ltd. Full timeAssist 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 the Department of Social Sciences and Policy Studies
Found in: beBee jobs HK - 3 weeks ago
Hong Kong, Central and Western District, Hong Kong SAR China The Education University of Hong Kong Full timeThe Education University of Hong Kong (EdUHK)Founded in 1994 and awarded the University title in 2016, The Education University of Hong Kong (EdUHK) is a publicly funded university, dedicated to the advancement of teacher education and related disciplines through a diverse offering of academic, professional and research programmes. Approaching its 30th...
-
AML VP/Director, Investment Bank/Securities
Found in: beBee jobs HK - 3 weeks ago
Hong Kong, Central and Western District, Hong Kong SAR China Randstad Hong Kong Full timeabout the companyOur client is a prominent investment banking firm with a strong presence in the APAC region about the jobAssisting the Head of AML in ensuring compliance with the latest regulations and industry standardsReviewing new business initiatives Supervising the FCC monitoring and approval processLeading a team in conducting AML investigations and...
-
Trade Finance Operations Manager
Found in: beBee jobs HK - 2 days ago
Hong Kong, Central and Western District, Hong Kong SAR China Randstad Hong Kong Full timeabout the companyOur client is an expanding foreign corporate bank. They are looking for a Trade Finance Operations Manager with at least 8 years of experience. about the jobHandle Trade Operations activities including Imports, Exports, Letters of Credit, Guarantees, Bills for collection, and Risk ParticipationProcess Trade Finance transactions in accordance...
-
Compliance Associate
Found in: beBee jobs HK - 3 weeks ago
Hong Kong, Central and Western District, Hong Kong SAR China Randstad Hong Kong Full timeabout the company.Our client is a prominent payment company that holds a leading position in the Hong Kong market. With their expanding business, they offer a range of services across various business lines, including Visa card services, single finance solutions, currency exchange, etc about the team. You will have the opportunity to join a friendly team of...
-
LC Officer
Found in: beBee jobs HK - 3 weeks ago
Hong Kong, Central and Western District, Hong Kong SAR China Randstad Hong Kong Full timeabout the company. Our client is a leading foreign bank seeking a highly skilled and motivated LC Officer to join our team. As an LC Officer, you will play a crucial role in facilitating trade finance operations and ensuring compliance with international regulations and bank policies. If you have a strong background in letter of credit processing and a...
-
Head of Management Information
Found in: beBee jobs HK - 3 weeks ago
Hong Kong, Central and Western District, Hong Kong SAR China Randstad Hong Kong Full timeCompany Overview:This is a renowned bank. Key Responsibilities:Prepare management information to senior management team and divisionKeep abreast of financial results and targets from bank and divisional KPILiaise and coordinate with business units to analyse forecasts vs budgetsMaintain and execute cost allocationsLead a team of 7 - 8 staff in MIS, manage...
-
KYC Manager, Compliance
Found in: beBee jobs HK - 3 weeks ago
Hong Kong, Central and Western District, Hong Kong SAR China Randstad Hong Kong Full timeabout the company.Our client is a prestigious global corporate banking institution. They offer a comprehensive range of banking services, including deposits, loans, receivables, securities, cash equivalents, debt investments, and more. The Bank is dedicated to serving enterprises. With a strong presence in the Hong Kong market, they have a stable business...
-
Head of GBA
Found in: beBee jobs HK - 3 weeks ago
Hong Kong, Central and Western District, Hong Kong SAR China Munich Re Full timeMunichre Service Limited, part of Munich Re, the world's largest reinsurer, is seeking a Head of GBA Clients to spearhead profitable and sustainable business growth in the Great Bay Area. This pivotal role involves fostering robust client relationships, pinpointing lucrative reinsurance opportunities, leading new product development endeavors, and...
-
Assistant Compliance Manager, NEA
Found in: beBee jobs HK - 2 weeks ago
Hong Kong, Central and Western District, Hong Kong SAR China Richemont Full timeBased in Hong Kong, the Assistant Compliance Manager – Northeast Asia ("NEA") is responsible for the compliance function of NEA, reporting to the Compliance Manager NEA. He/she will:Define and rollout the GRC Controls Framework and the wider internal governance, in conjunction with Maisons and Functions stakeholders in NEA, APAC Region and the Richemont...
-
Compliance Analyst/Senior Analyst
Found in: beBee jobs HK - 3 weeks ago
Hong Kong, Central and Western District, Hong Kong SAR China Randstad Hong Kong Full timeabout the company.Our client is a prominent payment company that holds a leading position in the Hong Kong market. With their expanding business, thge, etc ey offer a range of services across various business lines, including Visa card services, single finance solutions, currency exchanabout the team. You will have the opportunity to join a friendly team of...
