HK Regulatory Compliance Officer

Risk & Compliance Officer - Hong Kong Support the regulatory compliance function covering licensing and the regulated activities including the investment and insurance distribution activities and asset management. Keep track of regulatory updates, establish and maintain regulatory register and identify gaps. Assist to formulate the compliance program and...

A financial services firm in Hong Kong is seeking a Compliance Officer to oversee compliance for its investment banking, capital markets, and research activities. Responsibilities include providing regulatory advice, updating compliance documentation, and conducting training sessions. Candidates should possess a strong compliance background with at least 3...

Compliance Manager (AML & Regulatory Compliance) Support the development and maintenance of compliance programs / policies aligned with VASP regulatory frameworks. Conduct regulatory gap assessments, licensing evaluations and preparation of filings and documentation. Act as a key point of contact for internal and external stakeholders on Compliance advisory...

Job Title: Responsible Officer (SFC Type1) Location: Central, Hong Kong Main Responsibilities: Lead and manage the firm's Type 1 (Securities Trading) regulated activity, ensuring daily operations fully comply with the Securities and Futures Commission (SFC) of Hong Kong regulations, guidelines, and internal policies. Act as the SFC's Responsible Officer (RO)...

Head of Regulatory Compliance CMB & GBM Some careers have more impact than others If you’re looking for a career where you can make a real impression, join Hang Seng and discover how valued you’ll be. Whether you want a career that could take you to the top, or simply take you in an exciting new direction, Hang Seng offers opportunities, support and...

Some careers have more impact than others If you’re looking for a career where you can make a real impression, join Hang Seng and discover how valued you’ll be. Whether you want a career that could take you to the top, or simply take you in an exciting new direction, Hang Seng offers opportunities, support and rewards that will take you further. Risk &...

A leading compliance consulting firm in Hong Kong is seeking a Senior Analyst for Compliance and Corporate Services. This junior role involves supporting senior managers in client servicing for licensed financial institutions, drafting regulatory documents, and ensuring compliance with deadlines. Ideal candidates possess a degree in relevant fields,...

Responsibilities: Assist the Head of Compliance in formulating and maintaining Compliance policies and procedures Study the new regulations or consultation papers issued by regulatory bodies, and assist in monitoring the progress of the implementation of the regulatory requirements Advise business and supporting units on compliance issues Prepare compliance...

Overview Senior Analyst - Compliance and Corporate Services. JAST Compliance is a leading compliance consulting firm in the financial industry in Hong Kong. We are expanding our client servicing team by opening this junior level role. Responsibilities Assist senior managers and partners on daily client servicing work for licensed financial institutions....

Talent & Culture, Asia Corporate & Investment Banking at BBVA Job Purpose & Objectives • Assist and support business management in identifying, assessing, measuring and mitigating compliance risks. • Provide reasonable assurance that the Bank and its employees comply with applicable laws, regulations, internal rules and ethical standards within the...