Head of Compliance

Responsibilities:Act as HK Compliance head and oversee compliance activities in HK. Contribute to regional compliance oversight in Australia and Singapore. Work as a senior management and manage a wide range of regulatory matters by providing professional compliance advice to the business function and top management on new business initiatives and...

Responsibilities:  Reporting to the APAC Head, 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...

Compliance ManagerJob Summary:We are seeking a seasoned Compliance Manager to join our team at the Bank of China.This is a full-time position in the Legal and Compliance department, reporting to the Head of Compliance.The successful candidate will be responsible for formulating annual compliance review plans, conducting regular compliance reviews, and...

Responsibilities: Assist to formulate annual compliance review plan by referencing risk assessment results. Conduct regular/ thematic compliance reviews on an on-going basis covering the Bank and other major financial subsidiaries within the group to ensure adherence to regulatory/ Head Office requirements and internal policies. Coordinate or perform...

Job DescriptionWe are seeking a highly experienced professional to lead our Regional Head of Capital Markets Regulatory Surveillance (SUR/CMS) team in the Asia-Pacific region. The successful candidate will be responsible for defining and implementing a compliance surveillance and control setup on the perimeter under their responsibility and adapting it in...

Job OverviewThe Regional Head of Capital Markets Surveillance role provides a unique opportunity to grasp the intricacies of a top-tier investment bank and contribute to evolving regulatory developments.This position involves constant interaction with senior management, business lines, and compliance teams. It is suitable for candidates with an appetite for...

We invite applications for the role of Executive Head at the Hong Kong Council of Social Service (HKCSS). As a leading organization in the social service sector, we aim to advance the well-being of the Hong Kong community.In this key position, you will provide strategic direction, leadership, and oversight to ensure the effective operation of HKCSS. Your...

As an important member of their HK Compliance Team, you will report to the Head of Compliance HK and be responsible for providing compliance advice to the Global Investment Banking Business, compliance advisory for M&A, ECM, DCM, and IPO business, ongoing compliance training for front office staff, and handling regulators' (HKEx & SFC) on-site exams and...

A global financial services firm is looking for a Compliance Officer for their asset management business   Roles and Responsibilities- • Advising the Asset Management business on regulatory compliance, risk identification, mitigation, and all regulatory matters • Ensuring compliance and operational risk controls are well in place and that...

Company OverviewNexusSearch is a leading global decentralized finance (DeFi) blockchain company based in Hong Kong, with a team of around 20 members including two in the Compliance Team. We are looking to expand our presence in Asia.Job DescriptionAs a key member of the Compliance Team, you will report directly to the Head of Compliance and handle all...

Client Overview Our client is a leading global decentralized finance (DeFi) blockchain company, headquartered in Hong Kong. With a team of around 20 members, including 2 in the Compliance Team, they are looking to expand their presence in Asia. Job Description Report directly to the Head of Compliance. Handle all compliance-related matters, including...

About the RoleThe Head of Operations will oversee the full fund lifecycle, ensuring operational efficiency and regulatory compliance. Key responsibilities include overseeing fund launches, trade execution, settlements, reconciliations, and corporate actions.

CLIENT BACKGROUND We are looking for an experienced and knowledgeable IBD Compliance Specialist to join our team. The successful candidate will have extensive experience in investment banking division (IBD) product knowledge or control room operations, to work in the regional team and report to the Head of Compliance to work closely with the business team on...

CLIENT BACKGROUND We are seeking a diligent and proactive Compliance Officer to join our team. The successful candidate will be responsible for overseeing general compliance activities, including staff dealing, SFC and head office reporting, KYC, and AML. This role requires a professional with a solid understanding of compliance regulations and familiarity...

The Company Our client is a banking group which going through expansions in different business, with strong presences in Asia, provide excellent career opportunities and staff benefits.  As part of an important part of HK Compliance Team, they are now looking for a Compliance Manager to work under their AML Compliance Team. The Role As part of the team...

Report to Legal & Compliance Manager and Head of Legal & Compliance Provide compliance advice and solution to management and departments Develop, draft and review a broad range of business contracts, agreements, announcement, notice, correspondence, account opening documents, marketing materials, board resolutions, shareholders resolutions and other...

KOS International Limited requires a highly skilled Head of Finance to oversee the financial aspects of the company. This role involves managing financial reporting, leading the finance function, and ensuring compliance with relevant regulations.Job DescriptionThe successful candidate will be responsible for:Working closely with senior management to execute...

Business Function: Group Legal, Compliance & Secretariat ensures that the bank's interests are protected by zealously guarding and enhancing its reputation and capital. We also work to maintain a good standing with all our regulators, customers, and business partners. Because we believe that at the heart of business banking is to uphold the values of trust...

Company OverviewDBS Bank (Hong Kong) Limited is a leading financial institution committed to upholding the highest standards of integrity and compliance. Our Group Legal, Compliance & Secretariat team plays a vital role in ensuring that our business activities are conducted in a manner that protects our reputation, capital, and regulatory standing.Job...

About the RoleWe are seeking a seasoned cybersecurity professional to lead our enterprise information security program. As Head of Cybersecurity and Risk Management, you will be responsible for identifying, assessing, and mitigating cyber risks across the organization. Your expertise in security operations, governance, and compliance will help drive business...