Senior Compliance Manager – Securities

A leading financial services firm in Hong Kong is seeking a Customer Service Department Manager. This role involves overseeing daily operations, managing client account processes, and leading a team of customer service representatives. The ideal candidate will have over 5 years of experience in the securities industry, excellent communication skills in...

About the role This full-time Compliance Officer role at Waton Securities International Limited is located in the Tsim Sha Tsui Yau Tsim Mong District. You will play a key role in ensuring the organisation's compliance with relevant banking and financial services regulations and internal policies. What you'll be doing Monitoring and reviewing the...

Add expected salary to your profile for insights Oversee the company's overallcompliance farmwork, including providing regulatory advice, annual products and policies review. Supervise day-to-day compliance operations, including client onboarding, transactions monitoring and business activities to comply with regulatory requirements and internal guidelines....

Perform license applications, notifications, enquiries, complaints, surveys and maintain relevant records Perform transaction monitoring, trade surveillance, name screening and undertake investigations into any suspicious transactions reported Establish compliance monitoring programs and conduct regular reviews including staff dealing activities to identify...

Manager/Senior Manager - Business Security & Regulatory Compliance - Hong Kong We are seeking a highly motivated and experienced Manager or Senior Manager to join our Business Security team, based in Hong Kong. The successful candidate will play a key role in supporting the Business Security Lead (BSL) in ensuring compliance with Hong Kong and Macau...

Assistant Manager / Manager, Compliance Department Reporting to Associate Director of Compliance Department, you are responsible for: Identify and assess compliance risks along with the Group’s development and daily operational activities; Develop and implement internal policies, procedures and control manuals for the Group; Perform regular compliance...

A leading securities firm in Hong Kong is seeking a Compliance Officer to handle day-to-day compliance operations and oversee the compliance framework. The ideal candidate should have a Bachelor’s degree in Law, Finance, or Business Administration, coupled with solid experience in the securities industry. Proficiency in Mandarin, Cantonese, and English is...

Handle day-to-day compliance operations, including client onboarding, transactions monitoring and business activities to comply with regulatory requirements and internal guidelines. Assist in overseeing the company's overall compliance framework, including providing regulatory advice, annual products and policies review. Manage license applications and...

Compliance & Audit Manager (Compliance, Audit, Equities, Funds) (Securities) Company Description: A leading financial institution in the securities industry, committed to providing comprehensive and professional financial services. Location: Hong Kong Nature: Permanent Job Title: Compliance & Audit Manager (Compliance, Audit, Equities, Funds) (Securities)...

Assistant Director - Legal and Compliance Advise business on compliance issues in transactions and provide ongoing guidance to the business on compliance requirements. Advise on compliance issues and potential impact of regulatory trends and developments. Provide practical compliance advice for business such as retail and institutional brokerage, global...