Regulatory Compliance Officer

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)...

A financial compliance firm in Hong Kong is offering an opportunity for candidates without relevant experience to establish a career in the financial compliance field as an Assistant Compliance Consultant. The role encompasses assisting compliance consultants with regulatory filings, handling administrative tasks, and developing training materials. Good...

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...

Add expected salary to your profile for insights Assist the Head of Compliance in formulating and maintaining Compliance policies and procedures. Study new regulations or consultation papers issued by regulatory bodies, and assist in monitoring the progress of implementation of regulatory requirements. Advise business and supporting units on compliance...

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,...

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....

IT Governance Officer (Banking, Regulatory Compliance) Client Description Company Description: A leading financial services group headquartered in Hong Kong.Provides retail and corporate banking, wealth management, and investment services.Operates an extensive branch network across Hong Kong, Mainland China, and international markets.Location: Kwun...

A leading life insurance firm in Hong Kong is seeking a Compliance Officer responsible for compliance policies, regulatory functions, and project coordination. The ideal candidate will have a Bachelor's degree in account, finance, or law and a minimum of 3 years' experience in General Compliance. Proficiency in both Chinese and English, along with strong...

Regulatory and Compliance Officer (Hong Kong) Responsibilities The Compliance Officer will be responsible for ensuring strict adherence to the AMLO and guidelines from the Hong Kong Customs and Excise Department (C&E). Key duties include: Developing and updating anti‑money laundering (AML) and counter‑terrorist financing (CFT) policies and procedures....

A leading global alternative investment firm is looking for a compliance officer to join their Asia-Pacific team. The candidate will enforce compliance monitoring programs, handle regulatory reporting, and ensure adherence to SFC regulations. With over 10 years of experience in compliance within hedge funds or markets, the ideal candidate will have strong...