KYC & Compliance Support for Equity Derivatives

Contractor, Customer Compliance Management Support, Equity Sales & Derivatives Key Accountabilities Perform KYC and AML check on customer account documentation to ensure compliance with rules and regulations; Administer on-going KYC review maintenance of account documentation, transaction review, and other account servicing functions; Keep track on...

Contractor, Customer Compliance Management Support, Equity Sales & Derivatives Perform KYC and AML checks on customer account documentation to ensure compliance with rules and regulations; administer ongoing KYC review, maintain account documentation, transaction reviews, and other account servicing functions; keep track of instructions and progress updates...

3 days ago Be among the first 25 applicants Get AI-powered advice on this job and more exclusive features. Assist in optimizing data processes and trading tools to support decision-making. Contribute to pricing tools and trading strategy development. Collaborate across teams to streamline trading workflows and processes. Provide analytical support for market...

Sales Support (Equity Derivatives) - Investment Bank Our client is a well-established Investment Bank seeking a Sales Support Assistant to focus on Equity Derivatives. Description Providing operational support to the equity derivatives sales team. Support the sales team in managing daily trade flows and client requests, including pricing, execution, and...

A well-established Investment Bank in Hong Kong is seeking a Sales Support Assistant to provide operational support for its equity derivatives sales team. The position requires at least 2 years of relevant experience and strong proficiency in Excel. Candidates will manage daily trade flows, assist with client requests, and monitor market trends, ensuring...

A global recruitment firm in Hong Kong is seeking a Global Sales Operations Manager to optimize sales tools and strategy for high-performing consultants. The ideal candidate has a minimum of 5 years' experience in trade support or middle office operations within equity derivatives and strong analytical skills in Microsoft Office, VBA, and Python. This role...

We are seeking an experienced and detail-oriented individual to join our team as an AVP in the Middle Office for Equity Derivatives. The ideal candidate will have a robust understanding of structured products and derivatives, along with a strong background in trade support and operations functions. Responsibilities Oversee middle office operations related to...

Senior Compliance Manager, Equities Compliance Join to apply for the Senior Compliance Manager, Equities Compliance role at CLSA This senior Compliance position is part of the Equities Compliance team reporting into the Head of Equities Compliance. Equities Compliance team provides compliance coverage to CSI Institutional Equities (Sales and Trading)...

A financial services firm in Hong Kong is seeking an Account Management Team (AMT) Operations Specialist. The role involves managing accounts and client relationships within the Equities Department. Responsibilities include KYC processes for account opening, coordinating with teams to address client inquiries, and ensuring compliance through regular account...

A leading investment bank in the region is seeking an Associate/AVP for Business Support & Client Services in Equity Sales & Derivatives. The applicant will be responsible for handling equity and bond placement orders, IPO processes, and working with settlement teams to support trade operations. Ideal candidates will have a background in Finance or Business...