Compliance Officer, Regional Compliance, Investment Banking

CLIENT BACKGROUND Our client is a Regional Investment Bank. We are seeking a Compliance talent to join our dynamic compliance team.We are dedicated to providing our clients with innovative investment solutions while maintaining the highest standards of compliance and governance. As we continue to grow, we are looking for a seasoned professional to join our...

**Job Overview**Pure Hong Kong is seeking a highly skilled Chief Compliance Officer to join our team. This role will be responsible for providing compliance advice to the Global Investment Banking Business and overseeing various compliance functions.**Key Responsibilities:**Provide compliance advice to the Global Investment Banking Business on matters such...

Assistant Vice President, Internal Audit Hong Kong, China Trending Job Description Main Responsibilities: Perform audit missions of designated departments / branches in Asia Pacific Full scope audits of business lines covering: strategy, governance, organization, profitability, front to back processes, compliance, HR, internal controls…...

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...

About the RoleThis is a key position within our Legal & Compliance Division, responsible for ensuring adherence to regulatory requirements and maintaining a culture of compliance across our investment banking operations.Key Responsibilities:Develop and implement effective compliance processes, systems, and controls for our Control Room and investment banking...

Key Responsibilities Handle SFC applications, regulatory reports/ filings and other licensing matters Conduct reviews on SFC-authorised funds sales and marketing materials Handle investment compliance and trade surveillance to SFC-authorised funds, private funds and other mandates Perform coordination of service agreements with relevant stakeholders Conduct...

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...

Job Title: Personal Assistant to Senior ExecutiveWe are seeking a highly skilled and organized Personal Assistant to provide exceptional support to our Senior Executive.About Link Compliance:Link Compliance is an online entertainment company based in Hong Kong. We strive to deliver innovative solutions that exceed our clients' expectations.Salary:The...

Job Title: Compliance Officer for Investment ServicesThe ConnectedGroup Limited is seeking a talented individual to join their team as a Compliance Officer for Investment Services. This role involves working closely with the COO and CCO to ensure compliance with existing ARP Compliance policies.Key Responsibilities:Conduct daily compliance monitoring,...

Senior Compliance Manager (Investment and Insurance focused) - Compliance Division Job No.: 498594Employment Type: Full timeDepartments: Legal & Compliance and Operational Risk Management DepartmentJob Functions: Legal Responsibilities: Provide advisory services to business units regarding regulatory compliance issues on investment or insurance...

About Link ComplianceWe are a leading online entertainment company based in Hong Kong, and we're seeking an exceptional Executive Assistant to support our CEO's business calendar.

BNP Paribas Cardif is a world leader in bancassurance partnerships, providing its more than 80 million customers with products and services that let them realize their goals while protecting themselves from unforeseen events. BNP Paribas Cardif is committed to having a positive impact on society and to making insurance more accessible. A subsidiary of BNP...

Responsibilities: Provide advisory services to business units regarding regulatory compliance issues on investment or insurance products/ services Participate and assist in regulatory compliance-related projects, initiatives and system launch / enhancement Review policies and procedures, compliance manuals etc. in accordance with the relevant laws...

Pure Hong Kong is a top-tier private bank with a strong presence in Asia.We are seeking a skilled Compliance Specialist to join our growing HK Compliance Team, reporting directly to the Head of Compliance.As a key member of our team, you will provide critical compliance advice to our private banking business, investment monitoring & surveillance, personal...

Duties: Responsible for pre-trade, post-trade & batch monitoring activities of investment guidelines in support of the Asia Pacific offices. Investment breach investigation, reporting and escalation for Asia Pacific business. Responsible for maintaining rules in the investment compliance system (ie Charles River) covering Asia Pacific region. Be a key...

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...

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...

Job Overview">CITIC Pacific Limited is seeking a highly skilled Compliance Officer to join its team in investment management. The successful candidate will be responsible for improving compliance regulations systems, implementing operational mechanisms for compliance management, constructing a strong compliance culture, and ensuring the effective...

The Company Our client is one of the largest asset managers in Asia Pacific, with strong presence in HK, providing excellent career opportunities and work-life balance.  As part of an important part of their growing Compliance Team, they are now looking for a committed and motivated compliance professional to be part of the regional Compliance Team. The...

The Role As a senior member of the Regulatory Compliance Team, you will be reporting to the Head of Compliance, responsible for providing compliance advice to their retail banking business, digital initiatives and investment monitoring & surveillance, new products approval, licensing as well as being heavily involved in compliance projects for the APAC...