GWM Compliance Officer

Your role Are you risk averse but risk aware?Do specialize in Wealth Management Compliance & Operational Risk?We are looking for a Compliance Officer to:• Support new business initiatives, product offering, advisory services and complex transactions for GWM Greater China• Provide independent and timely advice to business and other control functions on...

Your role Are you risk averse but risk aware?Do specialize in Wealth Management Compliance & Operational Risk?We are looking for a Compliance Officer to:• Support new business initiatives, product offering, advisory services and complex transactions for GWM Greater China• Provide independent and timely advice to business and other control functions on...

About the RoleWe are seeking a highly skilled Compliance Officer to join our Global Wealth Management Compliance & Operational Risk Control team in Hong Kong. As a key member of our team, you will play a critical role in ensuring the compliance of our business activities in Greater China.Key ResponsibilitiesSupport new business initiatives, product...

Your role Do you enjoy sourcing and meeting private bankers for the purpose of hiring them? Have you a knack for process management? Are you familiar with the Wealth Management business and passionate about both stakeholder management and candidate experience?We're looking for a Recruiter to:• Partner with Strategic Recruiters to identify and pipeline...

Your role Do you enjoy sourcing and meeting private bankers for the purpose of hiring them? Have you a knack for process management? Are you familiar with the Wealth Management business and passionate about both stakeholder management and candidate experience? We're looking for a Recruiter to: • Partner with Strategic Recruiters to identify and pipeline...

Your role Are you a sharp evaluator of risk? Can you investigate complex solutions? Do you have specific experience on Investment Suitability regulatory requirements? We're looking for a compliance controls analyst who can: • drive or work as a team member on investment suitability controls review and testing of UBS Global Wealth Management (GWM)...

Your new company The company is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The firm's employees serve clients worldwide, including corporations, governments, and individuals from more than 1,200 offices in 43 countries. Your new role You'll be...

EFG International seeks a seasoned Compliance Officer to join its team. The ideal candidate will possess a strong background in risk management and a proven track record of ensuring compliance with regulatory requirements. Key responsibilities include providing advisory support to Client Relationship Officers, conducting customer due diligence, and preparing...

The Compliance Officer will be responsible for ensuring regulatory compliance, overseeing local compliance strategies, and coordinating with the Chief Compliance Officer of the holding company and other local payment companies to align compliance practices. ResponsibilitiesDevelop and implement a robust compliance program tailored to the regulatory...

About the RoleMizuho Bank, Ltd. is seeking a highly skilled Compliance Officer to join our team in Hong Kong. As a key member of our Legal and Compliance Section, you will play a critical role in ensuring the bank's compliance with relevant laws and regulations.Key ResponsibilitiesAssist in managing the General Compliance functions, including planning,...

Bank Of China (Hong Kong) Limited is seeking a Compliance Manager to join our team. The successful candidate will be responsible for providing advisory services to business units regarding regulatory compliance issues. Key responsibilities include participating in regulatory compliance-related projects, reviewing policies and procedures, and conducting...

Qube Research & Technologies (QRT) is a global quantitative and systematic investment manager, operating in all liquid asset classes across the world. We are a technology and data driven group implementing a scientific approach to investing. Combining data, research, technology, and trading expertise has shaped our collaborative mindset, which enables us to...

Job Summary:Dah Sing Bank is seeking a highly skilled Compliance Officer to join our team. As a key member of our Group Compliance Division, you will play a critical role in ensuring the Bank's compliance with rules, regulations, and guidelines issued by regulatory bodies.Main Responsibilities:• Conduct thorough reviews and provide advice on...

About Dah Sing Financial GroupThe Dah Sing Financial Group is a leading financial services organization in Hong Kong, offering a range of banking, insurance, and financial services through its extensive network of over 70 branches in Hong Kong, Macau, and Mainland China.We value a culture of caring, teamwork, and progressiveness. We recognize that every...

Job SummaryWe are seeking a highly skilled Compliance Officer to join our team at Infini Capital Management Limited. As a key member of our compliance department, you will play a critical role in ensuring that our business operations are in line with regulatory requirements and industry best practices.Key ResponsibilitiesCompliance Policy ManagementDevelop,...

About the RoleWe are seeking a highly skilled Compliance Assistant to join our team at Moomoo. As a key member of our compliance team, you will play a critical role in ensuring that our business operations are in line with regulatory requirements.Key ResponsibilitiesTrade Surveillance and Compliance: Assist in monitoring and investigating potential...

Main ResponsibilitiesProvide advisory support and challenge to ensure that Client Relationship Officers perform initial and ongoing customer due diligence in accordance with EFG Global standards as well as applicable Anti-Money Laundering (AML), Combating the Financing of Terrorism (CFT), Sanctions, and Tax regulations and laws;Subject matter expert to guide...

{"title": "Compliance Officer/Manager", "content": "Main ResponsibilitiesWe are seeking a highly skilled Compliance Officer/Manager to join our team at Gough Recruitment. The successful candidate will be responsible for ensuring that our clients' businesses operate in compliance with all relevant laws and regulations.Monitor daily trading activities and...

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...

Our client is a renowned financial services group. To cope with continuous growth in the securities and futures division, they are now urgently looking for a Compliance Officer / Senior Officer to join the team in Hong Kong. Job Description Ensure company policies, internal control procedures, and manuals are up-to-date with regulatory requirements and...