Contractor, Customer Compliance Management Support, Equity Sales

Contractor, Customer Compliance Management Support, Equity Sales & Derivatives Perform KYC and AML checks on customer account documentation to ensure compliance with rules and regulations; administer ongoing KYC review, maintain account documentation, transaction reviews, and other account servicing functions; keep track of instructions and progress updates...

A prominent investment bank in Hong Kong is seeking a Contractor for Customer Compliance Management Support in Equity Sales & Derivatives. The candidate will perform KYC and AML checks on customer accounts and maintain documentation compliance. A degree and at least one year of relevant experience are required, along with excellent problem-solving,...

Senior Compliance Manager, Equities Compliance Join to apply for the Senior Compliance Manager, Equities Compliance role at CLSA This senior Compliance position is part of the Equities Compliance team reporting into the Head of Equities Compliance. Equities Compliance team provides compliance coverage to CSI Institutional Equities (Sales and Trading)...

Sales Support (Equity Derivatives) - Investment Bank Our client is a well-established Investment Bank seeking a Sales Support Assistant to focus on Equity Derivatives. Description Providing operational support to the equity derivatives sales team. Support the sales team in managing daily trade flows and client requests, including pricing, execution, and...

A well-established Investment Bank in Hong Kong is seeking a Sales Support Assistant to provide operational support for its equity derivatives sales team. The position requires at least 2 years of relevant experience and strong proficiency in Excel. Candidates will manage daily trade flows, assist with client requests, and monitor market trends, ensuring...

A financial services company in Hong Kong is seeking an Associate / Analyst for their Middle Office team focused on equities. Responsibilities include account management, risk and compliance support, and client assistance. The ideal candidate should hold a degree in Finance or a related field, have 2 years of experience in middle office functions, and be...

Temp Analyst - Equity Sales Support (6 months) Join to apply for the Temp Analyst - Equity Sales Support (6 months) role at Nomura . Department Overview Nomura's Global Markets department provides liquidity, market insights, and execution services to clients worldwide across various asset classes, including equities, fixed income, currencies, and...

A compliance consultancy in Hong Kong is seeking a dynamic Administrative Assistant to support their Compliance Team. Responsibilities include managing communications, scheduling meetings, maintaining filing systems, and providing office support. The ideal candidate should have a Higher Diploma, be fluent in Cantonese, and proficient in Microsoft Office....

Institutional Sales - Equities - Chinese IB – NexusSearch Location: Hong Kong, Hong Kong SAR Seniority level Not Applicable Employment type Full‑time Job function Finance and Sales Responsibilities Client Development: Actively build relationships with Chinese/foreign institutional clients (hedge funds, asset managers, PE firms); originate business...

Responsibilities Client Development: Actively build relationships with Chinese/foreign institutional clients (hedge funds, asset managers, PE firms); originate business opportunities in secondary market equities, new issues, and IPO underwriting. Sales Execution: Participate in equity sales/trading, product marketing, and placement; grasp client appetites...