Trading Compliance

A global trading firm in Hong Kong seeks a highly skilled lawyer to serve as the primary legal and compliance advisor for its equity capital trading team. The role entails monitoring trades and ensuring compliance with regulations while actively advising on changes in the trading landscape across APAC. Candidates must hold a law degree and possess 6-8 years...

ComplianceConsulting Limited was established in 2003, and is the first financial services consulting company in Hong Kong, offering regulatory and compliance advisory services to financial intermediaries. Our clients include brokerage houses, futures trading companies, corporate finance advisors, funds trading platforms, independent financial advisors, asset...

Our client is the largest distributor of electronic components, computer products and embedded technology serving customers, they are inviting a bright and energetic candidate for the following vacancy: Trade Compliance Manager RESPONSIBILITIES Responsible for maintaining a world‑class Global Trade Compliance program in Hong Kong, Taiwan and China (Greater...

A financial services firm in Hong Kong is seeking a qualified SFC Responsible Officer to oversee regulatory compliance in virtual asset management and trading. The ideal candidate will have at least 5 years of relevant experience in asset management, preferably with a current SFC license. Strong analytical, leadership, and interpersonal skills are essential,...

A Swiss-based luxury group specializing in high-end jewelry, watches, and fashion accessories. It operates globally with a focus on craftsmanship, heritage, and sustainability, managing a portfolio of iconic maisons known for exclusivity and innovation. RESPONSIBILITIES Monitor customs regulations timely, assess potential impacts and communicate effectively...

6 days ago Be among the first 25 applicants Get AI-powered advice on this job and more exclusive features. A Swiss-based luxury group specializing in high-end jewelry, watches, and fashion accessories. It operates globally with a focus on craftsmanship, heritage, and sustainability, managing a portfolio of iconic maisons known for exclusivity and innovation....

Our client is a largest distributors of electronic components, computer products and embedded technology serving customers, they are inviting a bright and energetic candidate for the following vacancy: Trade Compliance Executive RESPONSIBILITIES Support Sanction Party List (SPL) screening on new customers screening for compliance to government import /...

We are instructed on multiple compliance advisory roles covering global markets and electronic trading business with top-tier global financial institutions in Hong Kong. Being a compliance advisory member, you will provide compliance advice to APAC Equities and Electronic/ Algo Trading business, review and approve new products/ business initiatives, be...

A financial services firm in Hong Kong is seeking a compliance specialist to develop a trade surveillance framework and monitor trading activities. The ideal candidate has a bachelor's degree in Finance or a related field, with 5–8 years of experience in trade surveillance or compliance within hedge funds. Strong knowledge of regulatory frameworks and the...

SFC Responsible Officers (RO) (Virtual Asset Management / Trading) RO of SFC Type (1/2/3/4/5/6/7/8/9/10) Responsible Officers (RO) 1.1 Job Highlights Virtual Asset Management / Virtual Currency Trading related experience preferred Current holders of unconditional RO preferred Current Rep with enough experience considered Min 3 years industry experience Full...