Officer - Employee Compliance
1 month ago
Job Responsibilities:
- Facilitate and monitor compliance with the firm's Code of Conduct and other core compliance policies.
- Review employee disclosures, personal account dealings, and gifts and entertainment requests to identify potential conflicts of interest.
- Serve as the primary point of contact for general compliance inquiries from employees.
- Assist with licensing, examination, and registration filings with regulatory authorities.
- Monitor compliance with applicable securities laws and prepare reports for senior management.
Job Requirements:
- Bachelor's degree with 5+ years of experience in the financial services sector, preferably in a licensing, employee compliance, and registration role.
- Exposure to gifts and entertainment is beneficial.
- Ethical and principled with strong integrity.
- Excellent analytical skills and attention to detail.
- Proficiency in English (Chinese language skills are a plus).
-
Employee Compliance Specialist
1 month ago
Hong Kong, Hong Kong SAR China Jane Street Full timeAbout the PositionWe are looking for an Employee Compliance Specialist to be the main point of contact in administering various employee compliance requirements in our Hong Kong office. Our team is growing, and your participation will significantly shape this role and our team processes as we expand.The right person will enjoy both working with people and...
-
Employee Compliance Specialist
4 days ago
Hong Kong, Hong Kong SAR China Jane Street Full timeAbout the PositionWe are looking for an Employee Compliance Specialist to be the main point of contact in administering various employee compliance requirements in our Hong Kong office. Our team is growing, and your participation will significantly shape this role and our team processes as we expand.The right person will enjoy both working with people and...
-
Compliance Officer
1 month ago
Hong Kong, Hong Kong SAR China iCapital Full timeResponsibilities Support the development of a compliance strategy and guidelines to support the firm’s growth across APAC in a sustainable and compliant way. Work closely with senior management, colleagues, regulators, and external partners & stakeholders to anticipate risks to the firm and its clients and mitigate them. Develop and implement...
-
Officer, Compliance AML KYC Analyst
3 weeks ago
Hong Kong, Hong Kong SAR China Citi Full timeAt Citi , we get to connect millions of people across hundreds of cities and countries every day. And we've been doing it for more than 200 years. We do this through our unparalleled global network. We provide a broad range of financial services and products to our clients – whether they be consumers, corporations, governments or institutions – to help...
-
Director, Employee Relations
1 month ago
Hong Kong, Hong Kong SAR China Prudential plc Full timePrudential’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...
-
Contract Compliance Officer
4 weeks ago
Hong Kong, Hong Kong SAR China Zurich Insurance Company Full timeJob Responsibilities: An excellent opportunity for gaining experience in compliance assurance activities. Promote ethical and proper business practices via assurance review in various areas like dealing insecurity, anti-trust and fair competition, AML, data privacy, distribution management, outsourcing andcorporate governance, etc. Support the...
-
Contract Compliance Officer
4 weeks ago
Hong Kong, Central and Western District, Hong Kong SAR China Zurich Insurance Company Ltd. Full timeJob Responsibilities:An excellent opportunity for gaining experience in compliance assurance activities. Promote ethical and proper business practices via assurance review in various areas like dealing insecurity, anti-trust and fair competition, AML, data privacy, distribution management, outsourcing andcorporate governance, etc. Support the development of...
-
Compliance Officer
1 month ago
Hong Kong, Hong Kong SAR China China Investment Information Services Limited Full timeJob Responsibilities: Act as primary or secondary auditor in market data compliance audits, prepare audit reports and transform massive data into meaningful analysis reports Perform checking on unauthorized use and dissemination of market data and coordinate solution with relevant parties Translate internal policies and guidelines into practice,...
-
Hong Kong, Hong Kong SAR China Company 28 - Manulife (International) Limited Full timeDescription The Opportunity The customer is the focus of everything we do, and millions of end users rely on our products daily. We believe in the value of empowering (Senior) Customer Relations Officer, Employee Benefits with the resources to solve critical problems for the future of our business, which is why we need you. What motivates you?...
-
Officer, Regulatory Compliance Services
3 weeks ago
Hong Kong, Hong Kong SAR China Corporation Service Company Full timeOfficer, Regulatory Compliance Services Hong Kong Mon - Fri, 9am - 6pm Hybrid The position Our Regulatory and Compliance Services (RCS) ensure our clients to meet both their local and global regulatory needs and provide customized support to keep our clients informed of the evolving regulatory requirements impacting their business. Our team based...
-
Compliance - Associate
1 month ago
Hong Kong, Hong Kong SAR China Jefferies Full timeResponsibilities: Assist in managing HK regulatory licensing related matters staff application and collection of supporting documents, form completion, processing annual return, requisite filings, notifications to staff and maintaining relevant licensing / personnel records and communications Assist in coordinating new hire and ongoing trainings and...
-
Compliance - Associate
3 days ago
Hong Kong, Hong Kong SAR China Jefferies Full timeResponsibilities: Assist in managing HK regulatory licensing related matters staff application and collection of supporting documents, form completion, processing annual return, requisite filings, notifications to staff and maintaining relevant licensing / personnel records and communications Assist in coordinating new hire and ongoing trainings and...
-
Account Executive, Employee Benefits
2 days ago
Hong Kong, Hong Kong SAR China WTW Full timeThe Business The design, delivery, costs and risks associated with employee benefits is a critical component in recruiting and retaining talent which ultimately drives business performance. WTW help organisations develop enterprise-wide strategies for making thoughtful benefit decisions and managing those benefits chosen in order to meet employee needs...
-
SVP, Senior Product Compliance Officer
5 days ago
Hong Kong, Hong Kong SAR China Citi Full timeWhether you’re at the start of your career or looking to discover your next adventure, your story begins here. At Citi , you’ll have the opportunity to expand your skills and make a difference at one of the world’s most global banks. We’re fully committed to supporting your growth and development from the start with extensive on-the-job training...
-
VP, AML Compliance Officer
5 days ago
Hong Kong, Hong Kong SAR China Citi Full timeWhether you’re at the start of your career or looking to discover your next adventure, your story begins here. At Citi , you’ll have the opportunity to expand your skills and make a difference at one of the world’s most global banks. We’re fully committed to supporting your growth and development from the start with extensive on-the-job training...
-
Hong Kong, Hong Kong SAR China JPMorgan Chase & Co. Full timeJoin us in a pivotal role where your deep expertise leads operational excellence in technology support, enhancing system stability and performance across full stack technologies. As a Technology Support Director in Employee Platforms, Technology Employee Support Services(TESS), you will lead teams ensuring the operational stability, availability, and...
-
VP, AML Compliance Officer
3 weeks ago
Hong Kong, Hong Kong SAR China Citi Full timeThe Compliance AML Execution Lead Analyst is senior professional responsible for performing risk and compliance reviews in coordination with the broader Anti-Money Laundering (AML) team. The overall objective is to utilize in-depth AML knowledge to review, analyze and conduct effective due diligence and investigations on higher risk cases that may be a...
-
Unit Control Business Compliance Officer
4 weeks ago
Hong Kong, Hong Kong SAR China Citi Full timeShape your Career with Citi Citi Global Wealth (CGW) brings together the full power of Citi to serve the entire continuum of wealth clients, from affluent to ultra-high net worth to family offices. Citi provides programs and services for your physical and mental well-being including access to telehealth options, health advocates, confidential...
-
Compliance Manager
1 month 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...
-
Compliance Manager
1 month ago
Hong Kong, Hong Kong SAR China Zurich Insurance Company 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...