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...

Interactive Brokers Group, Inc. (Nasdaq: IBKR) is a global financial services company headquartered in Greenwich, CT, USA, with offices in over 15 countries. We have been at the forefront of financial innovation for over four decades, known for our cutting-edge technology and client commitment. IBKR affiliates provide global electronic brokerage services...

Head of Regulatory ComplianceYour new company The Head of Regulatory Compliance will be responsible for leading the compliance function. This role involves ensuring that all banking operations adhere to relevant regulatory requirements and internal policies. The ideal candidate will provide strategic compliance advice, manage regulatory relationships, and...

Head of Regulatory Compliance (Foreign corp bank, 100k) Your new company The Head of Regulatory Compliance will be responsible for leading the compliance function. This role involves ensuring that all banking operations adhere to relevant regulatory requirements and internal policies. The ideal candidate will provide strategic compliance advice, manage...

FIND YOUR 'BETTER' AT AIA We don't simply believe in being 'The Best'. We believe in better - because there's no limit to how far 'better' can take us. We believe in empowering every one of our people to find their 'better' - in the work they do, the career they build, the life they live and the difference they make. So that together we can support even...

AML Compliance Manager (AML Investigation & Fraud Section) - Financial Crime Compliance Department (Job ID 4136) Position Summary Assisting in handling the AML/CFT ongoing monitoring compliance function for the Bank including investigation and analysis of financial transactions to detect and report suspicious transactions to the relevant law enforcement...

About UsHARBRIDGE PARTNERS is a leading global financial institution committed to delivering exceptional services to our clients.Job Description: Head of Compliance – Executive DirectorThis is an exciting opportunity for a seasoned compliance professional to join our team as Head of Compliance – Executive Director, focusing on Asia Pacific operations....

MAIN DUTIES Identify, research for and investigate the patterns, trends and anomalies in complex transactional and customer data to detect, prevent, mitigate and report suspicious activity related to money laundering, terrorist financing and structuring. Perform transaction monitoring after account activation; ensure timely escalation of alerts and file...

The Role This is a newly created position, you will be reporting to the Regional Head of Regulatory Compliance in HK, responsible for providing regulatory compliance advice for their capital markets & institutional banking business.  You will be responsible for handling regulators' inquiries, and reviewing new products and new processes according to...

Company Introduction: We're home to Asia's most dynamic and vibrant capital markets. Connecting capital, ideas, inspiration and innovation for deeper, more diverse and liquid global capital markets; providing greater choice and opportunity for our customers, each and every day. HKEX is a purpose-driven company. Our commitment to the long-term development...

The Company Our client is a top tier private bank, with strong presences in Asia, with a long history and established compliance team and culture in HK.  As a part of their growing HK Compliance Team, they are now looking for a smart, stable and driven compliance professional to specialize in their private banking business.  This person will assist the...

Summary: Our client is a listed conglomerate. This role sits under the legal & compliance team and reports into the Head of Compliance. You will support the creation and upkeeping of internal compliances and governance policies. The ideal candidate should have experience in both general internal compliances and knowledge of IT governance & controlling...

About Pure Hong KongPure Hong Kong is a top-tier private bank with a strong presence in Asia.Our Client's Growing TeamWe are currently seeking a smart and driven compliance professional to join our growing HK Compliance Team. As part of this team, you will be responsible for assisting the Head of Compliance in handling regulatory and central compliance...

About the RoleThe Senior Compliance position within the Equities Compliance team at CLSA requires a professional with a strong background in compliance and regulation. This individual will contribute to the development and maintenance of compliance policies and procedures, ensuring adherence to regulatory requirements.ResponsibilitiesSupport the Head of...

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...

About the Role:This Regulatory Compliance Expert will be part of the Asia Pacific team, reporting to the Head of Anti-Financial Crime Compliance.Responsibilities:Ensure compliance with AML/CFT regulations and provide guidance to the business.Develop and implement AML/CFT policies and procedures.Maintain relationships with internal stakeholders and external...

Job Description Continuously implement the company’s compliance-related work in accordance with the requirements of the Hong Kong Securities and Futures Commission (SFC), identify and assess relevant compliance risks, and ensure that the company’s business complies with local regulatory requirements. Organize and implement the company’s operational...

Job Summary:We are looking for a highly organized and detail-oriented Administrative Coordinator to join our team at Tung Wah Group of Hospitals. As an Administrative Coordinator, you will be responsible for providing executive and secretarial support to the Head of Finance and Supplies Division, including managing meetings and events schedules, handling...

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...

Job SummaryThis role is part of the Equities Compliance team at CLSA, reporting to the Head of Equities Compliance. The team provides comprehensive compliance coverage to Institutional Equities Sales and Trading Business and Equities Derivatives Department.Main ResponsibilitiesContribute to the development and update of compliance manuals and procedures in...