Regulatory Controls Lead, Asset

A financial institution in Hong Kong is seeking a Regulatory Control Lead to manage regulatory engagement within the Asset and Wealth Management sector. You will be responsible for anticipating regulatory issues, enhancing frameworks for accountability, and driving collaboration across teams. Ideal candidates will have six years of relevant experience in...

The Asset and Wealth Management Regulatory Controls (ARC) team is a dynamic and strategic program within the Asset and Wealth Management Control Management organization. As trusted advisors and valued partners, we deliver a comprehensive and forward-looking overview of the regulatory landscape, offering deep analysis of regulatory impacts and emerging...

Asset and Wealth Management - Regulatory Controls - Vice President The Asset and Wealth Management Regulatory Controls (ARC) team is a dynamic and strategic program within the Asset and Wealth Management Control Management organization. As trusted advisors and valued partners, we deliver a comprehensive and forward‑looking overview of the regulatory...

A leading compliance firm in Hong Kong is seeking a Compliance Manager to oversee AML and regulatory compliance initiatives. This role involves developing compliance programs, conducting regulatory assessments, and ensuring effective implementation of controls. The ideal candidate has over 7 years of compliance experience in digital assets, a degree in a...

A reputable financial institution in Hong Kong is seeking a dynamic Responsible Officer to lead their regulatory compliance and oversee securities brokerage operations. In this role, you will ensure adherence to Hong Kong's regulatory standards while managing business and operational risks. Candidates must be licensed as a Responsible Officer under SFC and...

A leading global financial services firm in Hong Kong is seeking an AVP - Regulatory Reporting and Controls. This role involves ensuring regulatory adherence for APAC regulations and managing key operational initiatives. The ideal candidate will have strong regulatory reporting experience, knowledge of equities and financial products, and excellent...

Legal Compliance Specialist - ICBC Asset Management (Global) ICBC Asset Management (Global) Company Limited Able to independently manage and handle general compliance work, including but not limit to manage general licensing (licensed representatives, responsible officers, MIC, annual return, BRMQ and use of WINGS etc.) and on-going notification matters;...

This is an exciting opportunity to join us as an AVP - Regulatory Reporting and Controls. You will be a key member of the APAC Operations in the Regulatory reporting space, responsible for the regulatory adherence of APAC regulations, ensuring completeness, accuracy, and timelines of regulatory reporting. You will be working on projects to comply with...

Responsibilities: Able to independently manage and handle general compliance work, including but not limit to manage general licensing (licensed representatives, responsible officers, MIC, annual return, BRMQ and use of WINGS etc.) and on-going notification matters; Able to independently manage and provide compliance advice on AML and regulatory compliance...

Senior Legal and Compliance Manager - ICBC Asset Management (Global) ICBC Asset Management (Global) Company Limited is the subsidiary of ICBC (Asia), a leading investment firm in Asia and worldwide. Incorporated in Hong Kong and licensed to carry out regulated activities under the Securities and Futures Ordinance, we offer a dynamic environment for...