Senior Compliance Manager – Securities Brokerage

Compliance Manager (Securities Brokerage) 1 day ago Be among the first 25 applicants Our client an internationally established FinTech firm specializing in brokerage services, asset management, and technology-driven investment solutions for a global clientele is looking for a Compliance Manager (Securities Brokerage) to join their friendly team....

A leading securities brokerage firm in Hong Kong is seeking an experienced Senior Settlement Manager to lead their securities settlement team. The role involves managing settlement associates, overseeing daily activities, ensuring compliance, and collaborating with external parties. Candidates should have over 10 years of experience in securities operations,...

Senior Settlement Manager, Securities Brokerage, 60-80k My client is a dynamic and growing securities brokerage firm dedicated to providing exceptional trading, clearing, and settlement services to institutional and retail clients. We are seeking an experienced Senior Settlement Manager to lead our securities settlement team. About Us My client is a dynamic...

Responsibilities Manage the team to process dispute transactions within the time frame required by VISA, MasterCard and UPI chargeback compliance guidelines Ensure daily operations of Chargeback Team are in compliance with all internal policy and guidelines Liaise with local and overseas credit card member banks for charge back and pre-arbitration operations...

A leading financial institution in Hong Kong seeks a Manager / Senior Manager / AVP for Chargeback operations. The successful candidate will lead a team to ensure compliance with VISA and MasterCard guidelines, manage dispute transactions, and liaise with local and overseas banks. Minimum 7 years of experience in Chargeback and Credit Card Operations, and...

Management Accounting, Associate, Securities Brokerage My client is a stable securities brokerage company. They are now looking for an Assistant Manager for their Management Accounting team for their fast growing business. THE ROLE Reporting into the Division Head, please find your key responsibilities below: Prepare monthly financial management reports;...

Responsibilities Develop and implement compliance policy and review program covering our equities and futures businesses with particular emphasis on compliance with the relevant rules and regulations in Hong Kong. Provide compliance guidance, conduct training and make recommendations for improvement areas to minimize compliance risk. Advise business units...

KYC Officer Our client is a leading securities firm in Hong Kong, they are now looking for an KYC Officer to join their expanding team. Primary Responsibilities Oversee the onboarding process for new clients by collecting, validating, and maintaining comprehensive KYC documentation in line with regulatory, internal, and SFC guidelines. Perform ongoing...

A reputable financial institution in Hong Kong seeks a Responsible Officer for Type 1 regulated activities. This mid-senior level position combines regulatory compliance oversight with operational management in securities and virtual asset dealings. Candidates must have a minimum of 5-8 years experience in securities brokerage, be currently licensed as a...

A leading securities firm in Hong Kong is on the lookout for a KYC Officer to join their growing team. The role involves overseeing the onboarding process and maintaining compliance with KYC, AML, and regulatory requirements. The ideal candidate should have at least 3 years of experience in Private Banking or Securities Brokerage and be proficient in...