Regulatory Compliance

A financial compliance firm in Hong Kong is offering an opportunity for candidates without relevant experience to establish a career in the financial compliance field as an Assistant Compliance Consultant. The role encompasses assisting compliance consultants with regulatory filings, handling administrative tasks, and developing training materials. Good...

A leading compliance consulting firm in Hong Kong is seeking a Senior Analyst for Compliance and Corporate Services. This junior role involves supporting senior managers in client servicing for licensed financial institutions, drafting regulatory documents, and ensuring compliance with deadlines. Ideal candidates possess a degree in relevant fields,...

ComplianceConsulting Limited was established in 2003, and is the first financial services consulting company in Hong Kong, offering regulatory and compliance advisory services to financial intermediaries. Our clients include brokerage houses, futures trading companies, corporate finance advisors, funds trading platforms, independent financial advisors, asset...

Overview Senior Analyst - Compliance and Corporate Services. JAST Compliance is a leading compliance consulting firm in the financial industry in Hong Kong. We are expanding our client servicing team by opening this junior level role. Responsibilities Assist senior managers and partners on daily client servicing work for licensed financial institutions....

A financial services consulting company based in Hong Kong is seeking a Compliance Consultant to provide ongoing compliance advice to clients, assist with on-boarding procedures such as AML and KYC, and handle regulatory inquiries. The ideal candidate will have a minimum of 3 years' experience in compliance, familiarity with legislation, and fluency in...

Be among the first 25 applicants. Direct message the job poster from PAObank. Responsibilities Report to Head of Regulatory Compliance Provide timely advice on regulatory compliance related matters Support the regulatory compliance function covering regulated activities Keep track of regulatory updates, establish and maintain regulatory register and identify...

Our client is a SFC‑licensed leading global comprehensive trading platform for both individual and institutional clients with access to global markets. Responsibilities Communicate with regulatory bodies to ensure compliance and address inquiries. Research and interpret regulations applicable to brokerage operations in the region. Draft and implement...

Compliance Manager (AML & Regulatory Compliance) Support the development and maintenance of compliance programs / policies aligned with VASP regulatory frameworks. Conduct regulatory gap assessments, licensing evaluations and preparation of filings and documentation. Act as a key point of contact for internal and external stakeholders on Compliance advisory...

Add expected salary to your profile for insights Assist the Head of Compliance in formulating and maintaining Compliance policies and procedures. Study new regulations or consultation papers issued by regulatory bodies, and assist in monitoring the progress of implementation of regulatory requirements. Advise business and supporting units on compliance...

Manager, Regulatory Compliance & Inspection Our client is seeking a highly motivated and experienced professional in the Regulatory Compliance and Inspection function. This role is ideal for someone with a strong Inspection or Compliance background, particularly in the Financial Services or Securities or Brokerage industry, and hands‑on experience in...