Compliance Associate

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,...

Join to apply for the Associate, FATCA CRS, Compliance role at CLSA 2 weeks ago Be among the first 25 applicants Join to apply for the Associate, FATCA CRS, Compliance role at CLSA The FATCA Compliance Associate is responsible for the execution, monitoring and enforcement of compliance with Foreign Account Tax Compliance Act (FATCA) and Common Reporting...

Overview Susquehanna International Group is a global quantitative trading firm founded in the USA in 1987 on an intellectual curiosity platform. We combine bright minds, cutting‑edge technology, and vast data sets to solve complex market challenges. Our entities operate across the US, Europe, and Asia, and we are members of many global stock and derivative...

About the job Associate Director, Compliance Services Our client, a well-established Fund Services company, is looking to hire an Associate Director to join the expanding Compliance Services team in Hong Kong. Job Responsibilities: Manage the day-to-day compliance operations for a diverse portfolio of licensed entities, including fund managers,...

Recruiting Position: Associate Compliance Consultant Level: Junior to Middle Level Company Background Greeting! ComplianceOne Consulting Limited (ComplianceOne ) is one of the most reputable consulting firms specializing in regulatory compliance from Hong Kong. In the past eight years, we have accumulated dozens of successful licensing cases under the...

A leading investment bank in Hong Kong is seeking an Associate for Surveillance and Trading Compliance. The role involves issuing regulatory updates, reviewing trade surveillance, and providing compliance guidance. The ideal candidate will possess a degree in Law, Accounting, or Finance, along with 3-4 years of experience in the securities compliance field....

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....

CITIC CLSA provides global investors and corporate executives with insights, liquidity and capital to drive their growth strategies. Award-winning research, an extensive Asia footprint, direct links to China and highly experienced finance professionals differentiate our innovative products and services in asset management, corporate finance, equity and debt...

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 recruitment agency is looking for a Fund Accounting - Associate in Hong Kong. The candidate will ensure compliance with internal controls and regulations while performing tasks such as conducting cash flow reviews and maintaining clear communication across departments. Preferred qualifications include a foundation in accounting or finance with 4-5 years of...