Senior Compliance Associate – Regulatory

Compliance Associate / Senior Compliance Associate We are the largest Singaporean stockbroker by both market capitalisation and size of sales‑force, with an extensive foothold in the regional and global markets. We are looking for qualified individuals to join us. Responsibilities Handle general compliance related matters Handle enquiries, inspections,...

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....

Risk & Compliance Officer - Hong Kong Support the regulatory compliance function covering licensing and the regulated activities including the investment and insurance distribution activities and asset management. Keep track of regulatory updates, establish and maintain regulatory register and identify gaps. Assist to formulate the compliance program and...

Compliance Manager (AML & Regulatory Compliance) Job Description : Compliance Associate (AML & Regulatory Compliance) About Us At Auros, we’re dedicated to advancing the cryptocurrency ecosystem through unparalleled liquidity and market-making services. We’re one of the largest participants in the market, trading across 10+ global locations, facilitating...

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,...

Talent & Culture, Asia Corporate & Investment Banking at BBVA Job Purpose & Objectives • Assist and support business management in identifying, assessing, measuring and mitigating compliance risks. • Provide reasonable assurance that the Bank and its employees comply with applicable laws, regulations, internal rules and ethical standards within the...

Senior Associate, Control Room Compliance, APAC Join to apply for the Senior Associate, Control Room Compliance, APAC role at Ares Management Corporation Senior Associate, Control Room Compliance, APAC Join to apply for the Senior Associate, Control Room Compliance, APAC role at Ares Management Corporation Over the last 20 years, Ares’ success has been...

Responsibilities Provide a leadership of overall regulatory compliance for RD’s licensed subsidiaries, particularly in traditional and virtual asset related ones. Lead and perform comprehensive compliance advisory, focusing on regulatory compliance. This involves developing, maintaining, and implementing relevant policies and procedures. Lead the...

Associate / Senior Associate / Counsel - IPO & Compliance Add expected salary to your profile for insights Overview Our client is seeking lawyers at various levels (Junior Associate to Counsel) to join our Hong Kong Capital Markets team. The practice handles a mix of Hong Kong IPO, equity capital markets, and ongoing compliance matters. Key Responsibilities...

Responsibilities: Handle General Compliance related matters Handle enquiries, inspections, audits from regulators and external parties Assist in compliance monitoring and internal reviews Handle staff dealing review and monitoring Review to ensure company policies, internal control procedures & manuals are up to date with regulatory requirements Keep abreast...