Senior Associate, Specialist, Investigations, Legal, Compliance

A prestigious financial institution in Hong Kong is seeking a Senior Associate for the Specialist Investigations team. This role involves monitoring transactions, assessing suspicious activities, and providing fraud prevention advice. Candidates must possess strong analytical and communication skills, with fluency in Cantonese, Mandarin, and English. The...

A leading financial institution in Hong Kong seeks a Senior Associate/Associate for its Compliance and Legal Affairs Department. This role involves handling regulatory applications, maintaining internal policies, and ensuring compliance with SFC regulations. Ideal candidates should possess a degree in law or finance and have 3-5 years of relevant experience....

A leading regulatory authority in Hong Kong is seeking a Senior Legal Counsel to join its Enforcement Division. The role involves advising on complex enforcement matters, managing investigations, and supporting litigation to ensure regulatory compliance. Candidates should be qualified lawyers with at least 3 years of post-qualification experience, preferably...

2 weeks ago Be among the first 25 applicants Get AI-powered advice on this job and more exclusive features. Trade surveillance - pre and post-trade monitoring, trade error review, and trade incident investigation and reporting Compliance housekeeping matters - Maintain accurate records and documentation relating to corporate and compliance activities,...

Senior Associate/Associate- Compliance and Legal Affairs Department We offer attractive remuneration package, 5-day work, competitive fringe benefits (wedding leave, body check, group medical insurance, dental insurance etc.) and excellent career development opportunity to the right candidate. Responsibilities Handle SFC licensing application and CPT...

A professional legal association in Hong Kong is seeking an enthusiastic individual for the Assistant position in its Compliance Department. Responsibilities include providing secretarial and clerical support to Investigation Counsel, managing documentation, and fielding public enquiries. Ideal candidates should have at least one year of secretarial...

Join to apply for the ASSOC, Specialist, Transaction Surveillance, Group Legal, Compliance & Secretariat role at DBS Bank 4 days ago Be among the first 25 applicants Business Function Group Legal, Compliance & Secretariat ensures that the bank's interests are protected by zealously guarding and enhancing its reputation and capital. We also work to maintain a...

Compliance Specialist Senior Capital Group is seeking an experienced Compliance Specialist Senior to support distribution, sales and marketing compliance across the APACxJ region. Primary Responsibilities / Essential Functions Distribution, sales and marketing (“DSM”) compliance: review and approve marketing materials in APACxJ; contribute APACxJ input...

Insurance – Senior Manager, Legal and Compliance Responsibilities Corporate governance and relevant guidelines, Intermediary's conduct related regulations, market conduct, product and marketing related regulations. Develop and launch compliance programs (e.g., gap analysis, compliance checklist, risk assessment, etc.), monitor overall compliance therewith,...

A financial services organization in Hong Kong is seeking a compliance specialist with experience in AML investigations. The role involves monitoring transactions for suspicious activities, conducting detailed investigations, and ensuring compliance with financial regulations. Candidates should have an educational background in finance or banking, with...