Compliance Analyst/Associate, Global Asset Management

A global asset management firm in Hong Kong is seeking a Compliance Analyst/Associate to ensure adherence to regulatory requirements. You will report to the Regional Compliance Manager and be responsible for reviewing sales materials and conducting risk assessments. The ideal candidate should have 2-4 years of compliance experience in asset management and be...

​Responsibilities Work closely with Portfolio Managers and other team members to share insights, generate investment ideas, and refine investment and research processes;​ Conduct in-depth fundamental analysis of companies across various industries and geographies, primarily focus on Greater China and USA market; Analyze financial statements, industry...

Legal and Compliance Manager (Compliance-oriented) Responsible for independently managing and providing compliance advice on AML and related assignments and issues, including institutional risk assessments, CDD requirements, STR, selling process, etc., from both Hong Kong and Cayman Island perspectives. Provide product compliance support for funds and...

The Compliance Analyst supports the asset management firm's compliance program by monitoring and ensuring adherence to regulatory requirements, internal policies, and industry standards. This role involves risk assessment, reporting, and liaising with regulatory bodies to uphold the firm's compliance integrity. Key Responsibilities: Conduct ongoing...

Deputy Head of Legal and Compliance / Senior Legal and Compliance Manager Add expected salary to your profile for insights Strong capability to lead the department and manage the team independently; Able to advise and communicate with internal stakeholders and external parties e.g. external lawyers; Able to independently manage and handle general compliance...

Analyst/Associate, Business Management, Asset Management We are seeking a highly organized and proactive junior Business Management Analyst/Associate to support the strategic, operational, managerial and project management functions within our fast-growing asset management business. This role offers an excellent opportunity for recent graduates or...

Associate‑VP, Credit Analyst (Asset Management) Responsibilities Conduct thorough financial analysis of bond issuers, including reviewing financial statements, industry data, and market trends. Prepare detailed credit reports, including financial analysis, risk assessment, investment recommendations and other relevant research materials. Build and maintain...

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,...

Compliance Manager - Global Digital Asset Company Job Openings Compliance Manager - Global Digital Asset Company About the job Compliance Manager - Global Digital Asset Company Company Description The hiring company is a global digital asset company. Key Responsibilities Ensure compliance with all applicable laws and regulatory requirements locally. Develop...

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...