Associate, Regulatory 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...

Responsibilities 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 conduct the compliance...

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...

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,...

Regulatory Risk & Compliance Analyst/Associate, Global Private Bank Regulatory Compliance & Risk Review Regional 1.5 or 2nd Line of Defense Promising APAC Compliance Career & Good Hours Our Client Immediate openings with multiple Regional and Global Private Banks to search for Junior Regulatory Risk & Compliance candidates to be part of the growing team for...

A large financial institution in Hong Kong is seeking a Compliance Associate to assist in formulating compliance policies, study regulations, and prepare compliance reports. The ideal candidate should have a degree in Business Administration or related fields, experience in regulatory compliance, and strong communication skills. This position offers a chance...

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...

The Regulatory Affairs Associate will provide comprehensive administrative and technical support to the Regulatory Affairs (RA) team, ensuring timely preparation, submission, and maintenance of product registrations and post‑approval activities in Hong Kong. The role supports regulatory documentation, coordination with manufacturers, and compliance with...

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...

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,...