Compliance Office Assistant

Opportunity for candidates without relevant experience to establish a career in the financial compliance field Promotion prospect will be offered to good performers to the role of Assistant Compliance Consultant Job Responsibilities Assisting compliance consultants to handle filings with the regulators e.g. Securities and Futures Commission Handling...

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...

A financial services consulting company based in Hong Kong is seeking a Compliance Consultant to provide ongoing compliance advice to clients, assist with on-boarding procedures such as AML and KYC, and handle regulatory inquiries. The ideal candidate will have a minimum of 3 years' experience in compliance, familiarity with legislation, and fluency in...

Get AI-powered advice on this job and more exclusive features. Discover New Possibilities at Raffles Family Office Raffles Family Office (RFO) offers a comprehensive, one-stop family office solution by providing a wide range of services including independent asset management (IAM), advanced wealth solutions, fund services, risk & resilience services. Our...

Senior Compliance Officer / Assistant Compliance Manager Develop and maintain compliance policies and procedures for Type 1, 4, and 9 activities Ensure compliance with SFO, SFC codes, and AML/CFT requirements Monitor ongoing compliance with trading, advisory, and asset management activities, including review of marketing materials and client communications...

Senior Client Onboarding Officer Company: Compliance Commit Consulting Ltd, a Type 1&2 broker headquartered in Europe. Job Duties Reports directly to the Onboarding Team Lead located in Europe. Manage the client onboarding process. Manage and facilitate comprehensive client due diligence (CDD) and conduct Enhanced Due Diligence (EDD) on complex cases,...

Assist in review and update of relevant compliance policies/procedures Provide support to business/support units Perform general compliance checking and monitoring Main Responsibilities: Provide compliance services that support and facilitate the delivery of business plans, projects and initiatives Perform statutory and regulatory compliance functions,...

Discover New Possibilities at Raffles Family Office Raffles Family Office (RFO) offers a comprehensive, one-stop family office solution by providing a wide range of services including independent asset management (IAM), advanced wealth solutions, fund services, risk & resilience services. Our holistic approach ensures we cover all aspects of family...

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...

About the Company Yuanta Futures (Hong Kong) Co., Ltd was established in 2012 and is wholly owned by Yuanta Futures Co. (TWSE: 6023). Yuanta Futures Co. went public as a listed company in 2007 and has been the first listed futures company in Taiwan, demonstrating itself as an exemplary model in the financial industry. With over 20% ROE and over 100...