Securities Brokerage Compliance Lead

Compliance Manager (Securities Brokerage) Our Client Our client an internationally established FinTech firm specializing in brokerage services, asset management, and technology-driven investment solutions for a global clientele is looking for a Compliance Manager (Securities Brokerage) to join their friendly team. Responsibilities Develop, implement, and...

ZUU Group is a diversified financial services firm based in Hong Kong, offering integrated solutions in insurance brokerage , wealth management , and Capital Investment Entrant Scheme (CIES) advisory. We are committed to helping individuals and businesses achieve financial security through tailored insurance solutions and strategic financial planning. Learn...

A leading brokerage firm in Hong Kong seeks a Compliance Advisor to provide essential compliance advice for retail and institutional brokerage operations. Candidates should have a university degree in Law, Finance, or related disciplines, plus over three years of experience in SFC licensed companies. Proficiency in English, Cantonese, and Mandarin is...

A leading insurance brokerage in Hong Kong is looking for a Responsible Officer (RO) to oversee compliance and risk management functions. The ideal candidate will have a minimum of 5 years' experience in a senior compliance role and a strong understanding of regulatory requirements. Responsibilities include ensuring operations comply with regulations,...

Responsibilities Provide practical compliance advice for business such as retail and institutional brokerage; Monitor business operations of SFC licensed corporates and formulate and update internal policies and procedures to ensure compliance with SFC standards; Provide staff training related to compliance guidelines and requirements; Liaise with SFC, HKEX...

A leading internet brokerage firm in Hong Kong is seeking a dedicated client service representative. Responsibilities include assisting clients with inquiries and account opening, achieving sales targets through relationship building, and providing quality service. Candidates should have an Associate Degree, strong communication skills, at least 1 year of...

A financial services company based in Hong Kong is seeking an experienced IT professional to manage brokerage systems and provide application support. The ideal candidate will have a Bachelor's degree in Computer Science or related fields and at least 3 years of relevant experience in securities firms or investment banks. Excellent communication skills in...

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...

A diversified financial services firm in Hong Kong is seeking an experienced HR professional to oversee daily HR operations such as recruitment, onboarding, and compliance. The role requires a minimum of 5 years of HR experience, preferably in insurance or financial services, alongside strong skills in process optimisation and problem-solving. The successful...

A leading financial services company in Hong Kong is seeking a Deputy Head/Senior Manager for Legal & Compliance. This role involves performing license applications, transaction monitoring, and advising on compliance matters including FATCA and CRS. The ideal candidate will have a degree in relevant fields and 4-6 years of experience in brokerage compliance....