Regulatory Licensing Specialist – HKMA/SFC Compliance

A leading global financial services firm is seeking a Licensing Associate in Hong Kong. The role involves managing licensing processes for regulatory bodies, ensuring compliance, and coordinating with teams. Ideal candidates will have experience in licensing or regulatory compliance, possess strong communication skills in English and Chinese, and demonstrate...

A leading global financial services firm is seeking a Licensing Associate in Hong Kong. The role focuses on managing regulatory compliance and licensing processes for SFC and HKMA entities, ensuring timely and accurate regulatory filings. The ideal candidate must possess a Bachelor's degree and at least 3 years of relevant experience, with excellent...

A financial institution in Hong Kong is seeking a Responsible Officer with SFC licensing expertise to lead the application for SFC Type 1, 4, and 9 licenses. The ideal candidate will have at least 5 years of experience in securities and asset management, demonstrating strong project management and understanding of regulatory frameworks. Fluency in English...

Regulatory Affairs & Central Compliance Senior Manager Oversight Regulatory Affairs & Central Compliance Excellent job security and worklife balance Our Client Searching for Regulatory Central Compliance Senior Manager with one of the most established Global Private Bank with 250 employees+ in North Asia Branch and operations in over 20 locations. Job Duties...

Job Description: Responsibilities Provide HKMA and SFC licensing-related advisory (e.g. registration, competence and fit and proper requirements). Liaise with business and other counterparts for arranging application and cessation in relation to HKMA Executive Officer & Relevant Individual/ SFC Responsible Officer & Licensed Representative. Assist to arrange...

A financial services company in Hong Kong seeks a Compliance Officer to support regulatory compliance functions, prepare training materials, and assist in investigations. Candidates should have at least 2 years of relevant experience in an SFC licensed corporation and be fluent in Mandarin, English, and Cantonese. A university degree is required. This role...

Regulatory Compliance Manager, Top Ranking European Private Bank Top Ranking European Based Private Bank Regulatory Compliance & Risk Assessment Our Client Appointed by the most sustainable Global Private Bank with accomplished group profit of USD 218mill+ in 2022 to search for Regulatory Compliance Manager. Job Duties Report to Regulatory Head of Compliance...

A financial services company in Hong Kong is seeking a Senior Compliance Officer to manage SFC licensing matters, support regulatory investigations, and conduct AML reviews. The role requires a Bachelor’s degree in a relevant field, 1-3 years of compliance experience, and proficiency in English and Chinese, with Mandarin preferred. Strong organizational...

A consulting firm specializing in regulatory compliance is seeking an Associate Compliance Consultant to join their team in Hong Kong. The role involves handling SFC licensing matters, providing consultancy services, and preparing operational procedures. Candidates should have a degree in a related field and 1-2 years of experience in compliance. Proficiency...

Regulatory Compliance Senior Manager, Global Private Bank HKMA Regulatory Compliance & Monitoring Supportive and friendly working environment Our Client Appointed by Global Private Bank known for its long term commitment with over 150 years in wealth management and hiring over 2500 professionals worldwide to seek an experienced HKMA Regulatory Compliance...