Equities Compliance Opportunity

Assistant Manager, Equities Compliance Position Description This senior Compliance position is part of the Equities Compliance team reporting into the Head of Equities Compliance. The Equities Compliance team provides compliance coverage to CLSA Institutional Equities (Sales and Trading) Business and Equities Derivatives Department. Key Areas of...

Job OverviewWe are seeking a highly skilled Compliance Officer to join our team in Hong Kong, providing compliance coverage to the CICC group of companies for its Equities, FICC, and Wealth Management business activities.This is an excellent opportunity for a professional with strong financial services compliance or regulatory legal background to take on a...

This is a senior Compliance role within the Equities Compliance team at CLSA, responsible for providing compliance coverage to the Institutional Equities Business and Equities Derivatives Department.Key ResponsibilitiesContribute to the development of compliance manuals and procedures in response to regulatory or business changes.Support regulatory inquiries...

Company OverviewHARBRIDGE PARTNERS is a leading financial services firm with a strong presence in the Asia Pacific region.We are seeking an experienced Regional Equities Compliance Specialist to join our team in Hong Kong.SalaryThe estimated salary for this role is HKD 750,000 - HKD 1,000,000 per annum, depending on experience.Job DescriptionThis is a senior...

Whether 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 and exposure...

Job OverviewLarson Maddox is a Regional Investment Bank seeking a seasoned Vice President of Equities Compliance to lead its cash equities and derivatives compliance program.About the RoleThe ideal candidate will have at least 5 years of experience in compliance within the financial services sector, with a strong understanding of relevant regulations and...

About Larson MaddoxLarson Maddox is a leading organization in the financial services sector, committed to excellence and regulatory compliance.

Department Profile The Compliance Department is part of the APAC Legal and Compliance Division, and provides guidance and advice to Business Units and infrastructure and support staff at the Firm, including Sales & Trading, Research, and Investment Banking, across all its APAC jurisdictions. The equities sales and trading compliance provides advice on...

CLIENT BACKGROUND Our client is a Regional Investment Bank. We are seeking a Vice President of Equities Compliance to oversee our compliance program related to cash equities and derivatives. The ideal candidate will have at least 5 years of experience in compliance within the financial services sector. JOB RESPONSIBILITY Develop, implement, and maintain...

Job SummaryWe are seeking a seasoned Compliance Expert to lead our Anti-Money Laundering (AML) efforts in Equities/Securities.

Responsibilities Reports to: APAC Regional Head of Global Markets Compliance Job Description To support in advising and overseeing the Equities & Equity Derivatives business with respect to their management of regulatory and reputational risk. Key Roles and Responsibilities Based in Hong Kong, the incumbent will be responsible for: Advising Business from...

Citi is a global bank uniquely positioned to navigate the complexities of an increasingly interconnected world. With a vast global network and on-the-ground expertise, we connect the dots, anticipate change, and empathize with the needs of our clients and customers.Job DescriptionThe Director, Equities Independent Compliance Risk Management Asia role is a...

Job SummaryWe are seeking a skilled Private Equity Analyst to join our team at PSP Investments. As an Analyst / Associate, you will play a key role in identifying and evaluating investment opportunities in the Asia region.Key ResponsibilitiesConduct thorough research and analysis on potential investment targetsDevelop and maintain relationships with industry...

We live in a world where complexity knows no bounds. Companies are either born global or rapidly expand across borders, forging new dynamics in business and geopolitics. In this landscape, consumers expect seamless financial services as part of their digital lives. At Citi, we're uniquely positioned to capitalize on this moment. Our vast network and local...

At Citi, we're committed to supporting your growth and development from the start with extensive on-the-job training and exposure to senior leaders.Company OverviewCiti's Global Legal Affairs and Compliance (GLAC) empowers and protects Citi by providing legal, compliance, investigative, and security services to our firm.We manage compliance risk, provide...

HARBRIDGE PARTNERS, a leading recruitment agency in Hong Kong, is seeking an experienced AML Compliance Specialist to join our team. The successful candidate will be responsible for ensuring the compliance of our clients' equities and securities businesses with relevant regulations.**Job Summary:**We are looking for a highly skilled AML Compliance Specialist...

Citi's Independent Compliance Risk Management (ICRM) is a crucial control function that ensures compliance with laws and regulations. We are seeking a highly motivated and experienced professional to join our team as Senior Compliance Risk Management Specialist, Equities Asia. This role requires a strong working knowledge of financial institutions and...

AVP/ VP, Trade Surveillance & AML Monitoring and AML Training​ – Equities/ Securities AVP/ VP, Trade Surveillance & AML Monitoring and AML Training Location: Hong Kong   Main Duties and Responsibilities: Covering and manging the Training  function and a key Compliance member for  AML/CTF, Trade Surveillance/ Monitoring  and FATCA/CRS Provide...

Job DescriptionThe Compliance Officer will provide compliance coverage to the CICC group of companies for its Equities, FICC and Wealth Management business activities conducted from Hong Kong.Main ResponsibilitiesProviding compliance advisory to the Equities, FICC and Wealth Management departments on day-to-day business issues.Reviewing new business and...

About Eclipse TradingEclipse Trading is a leading proprietary derivatives trading firm with over 100 employees across four office locations in Asia. Founded in 2007, our company excels in equity derivatives and trades delta one, ETFs, commodity derivatives, and cryptocurrency products.Job DescriptionWe are seeking an experienced Compliance Operations...