Control Room Compliance Associate

The Role As part of an expanding Control Room Compliance Compliance Team, you will be reporting to the Regional Head of Compliance.  You will be responsible for the maintenance of watch lists and restricted lists, renewing and continuing the development of Chinese Wall policies, and handling conflict analysis.  You will be responsible for...

Job OverviewPure Hong Kong is seeking an experienced Compliance Specialist to join our expanding Control Room Compliance Team.About the RoleThis key position will report directly to the Regional Head of Compliance and be responsible for maintaining watch lists and restricted lists, renewing and continuing the development of Chinese Wall policies, and...

Job SummaryPFCC Group Limited is seeking a highly skilled Senior Compliance Officer to join our team in the control room. This is a critical role that requires a strong understanding of regulatory requirements and compliance procedures.About the RoleThe Senior Compliance Officer will be responsible for managing watchlists and restricted lists, reviewing...

Responsibilities: Responsible APAC Control Room and Research Compliance function Providing compliance clearance on Investment Research against the Watch and Restricted Lists and maintain transactional/role disclosures Develop compliance framework, policies, procedure, and training program for Corporate and Investment Banking business Provide compliance...

CLIENT BACKGROUND Join a leading investment bank in Hong Kong, where we are committed to excellence in financial services. Our dynamic team is dedicated to ensuring compliance and operational integrity while supporting our clients' diverse needs. JOB RESPONSIBILITY Monitor and manage communication within the control room to ensure compliance with...

Job OverviewAshford Benjamin Ltd is seeking a highly experienced Senior Compliance Officer to join our team in APAC Control RoomKey ResponsibilitiesOversee the APAC Control Room and Research Compliance function, ensuring adherence to regulatory requirementsProvide compliance clearance on Investment Research against Watch and Restricted Lists, maintaining...

CLIENT BACKGROUND Join a leading investment bank in Hong Kong, where we are committed to excellence in financial services. Our dynamic team is dedicated to ensuring compliance and operational integrity while supporting our clients' diverse needs. JOB RESPONSIBILITY Monitor and manage communication within the control room to ensure compliance with...

Key Responsibilities: Conduct thorough research and analysis related to potential conflicts of interest. Manage and maintain watchlists and restricted lists to ensure compliance with regulatory requirements. Collaborate with the IBD team to assess and provide compliance guidance on transactions and activities. Monitor market developments and assess their...

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Job OverviewWe are seeking a highly skilled Regulatory Compliance Specialist to join our team at Larson Maddox in Hong Kong.About UsLarson Maddox is a leading investment bank committed to excellence in financial services. Our dynamic team is dedicated to ensuring compliance and operational integrity while supporting our clients' diverse needs.Job...

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...

Job DescriptionAt Ashford Benjamin Ltd, we are seeking a seasoned Compliance Specialist to lead our Control Room and Research Compliance function in the Asia Pacific region. As a key member of our team, you will be responsible for ensuring compliance with regulatory requirements and industry standards.Main Responsibilities:Clearance of investment research...

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...

Job Description:Ashford Benjamin Ltd is seeking an experienced Control Room and Research Compliance Specialist to join our team in Asia Pacific.Key Responsibilities:Compliance Clearance: Provide timely compliance clearance on investment research against the watch and restricted lists, ensuring accurate transactional/role disclosures.Framework Development:...

Job DescriptionA key role has become available in our team at Ashford Benjamin Ltd, focusing on the compliance aspect of our operations within the Asia Pacific region.The Control Room and Research Compliance Specialist will be responsible for ensuring adherence to regulatory requirements and maintaining a robust control framework.Key...

We are seeking a seasoned Chief Compliance Officer to join our team at Global Executive Consultants Ltd. in Hong Kong.About the RoleAs a key member of our Corporate Finance division, you will be responsible for ensuring compliance with all relevant regulations and laws in the region. Your expertise will help us navigate complex regulatory landscapes and...

About the Role:We are seeking an experienced Investment Banking Compliance Specialist to join our team at Gravitas Recruitment Group.Key Responsibilities:Conduct thorough research and analysis related to potential conflicts of interest.Manage and maintain watchlists and restricted lists to ensure compliance with regulatory requirements.Collaborate with the...

Overview:Citi, a leading global bank, is seeking a seasoned professional to join its team as a Global Compliance Risk Manager for the APAC Control Group. This role will play a critical part in ensuring the company's compliance with regulatory requirements and maintaining a strong risk management framework.Salary:The estimated salary for this position is...

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...

Ashford Benjamin Ltd is seeking a highly skilled Regulatory Compliance Officer to join our team in the APAC region.Job SummaryThe successful candidate will be responsible for ensuring compliance with regulatory requirements across all aspects of our business, with a focus on Investment Research and Corporate Banking.Main Responsibilities:Providing compliance...