Current jobs related to Regulatory Compliance Officer - Hong Kong, Central and Western District - Corporation Service Company

  • Regulatory Compliance Officer

    4 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China Corporation Service Company Full time

    Join our team of regulatory experts at Corporation Service Company as a Regulatory Compliance Officer. In this role, you will be responsible for ensuring our clients meet their local and global regulatory needs.Our Regulatory and Compliance Services (RCS) team provides top-quality services to our clients, including on-boarding and provision of FATCA/CRS...

  • Compliance Officer

    4 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China CICC Full time

    Job Title: Compliance OfficerJob Summary:We are seeking a highly skilled Compliance Officer to join our team at CICC. The successful candidate will be responsible for providing compliance coverage to our Equities, FICC, and Wealth Management business activities conducted from Hong Kong.Key Responsibilities:Provide compliance advisory to the Equities, FICC,...

  • Regulatory Compliance Services Officer

    3 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China Corporation Service Company Full time

    Job SummaryWe are seeking a highly skilled Officer, Regulatory Compliance Services to join our team at Corporation Service Company.Your Key ResponsibilitiesPerform Anti-Money Laundering (AML)/Counter-Terrorism Financing (CTF) checks and follow up with investors on required Know Your Customer (KYC) documents, including FATCA/CRS-related forms and...

  • Compliance Officer

    1 month ago

    Hong Kong, Central and Western District, Hong Kong SAR China Allspring Global Investments Full time

    Join Our Team at Allspring Global InvestmentsAt Allspring Global Investments, we are seeking a highly skilled Compliance Officer to join our team in Hong Kong or Singapore. As a key member of our Compliance team, you will play a critical role in ensuring the company's compliance with regulatory requirements in the APAC region.Key Responsibilities:Support the...

  • Compliance Officer

    3 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China Qube Research & Technologies Full time

    Compliance Officer RoleQube Research & Technologies (QRT) is a global quantitative and systematic investment manager, operating in all liquid asset classes across the world. Our company culture is built on innovation, collaboration, and a commitment to delivering high-quality returns for our investors.In this role, you will support the APAC Head of...

  • Compliance Officer

    3 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China Allspring Global Investments Full time

    At Allspring Global Investments, we are seeking a Compliance Officer to join our team in Hong Kong or Singapore. As a key member of our compliance team, you will be responsible for ensuring that our business operations align with applicable laws, regulations, and internal policies.About UsAllspring Global Investments is a leading independent asset management...

  • Regulatory Compliance Officer

    4 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China Sun Life Full time

    Job Description:Looking for a seasoned Compliance professional to lead our Regulatory Compliance Management (RCM) program within Asia Investment Management.Develop and implement compliance programs to ensure effectiveness and efficiency in identifying, preventing, detecting, and correcting non-compliance with applicable laws and regulations.Manage and...

  • Compliance Officer

    3 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China Star Anise Limited Full time

    Star Anise Limited seeks a skilled Compliance professional to support its client, a global investment management firm, in its Hong Kong office. The successful candidate will play a key role in managing conflicts, conducting Financial Crimes compliance checks, and providing comprehensive compliance support.Key Responsibilities:Manage conflicts of interest for...

  • Compliance Officer

    4 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China Société Générale Assurances Full time

    About the RoleWe are seeking a seasoned Compliance Professional to join our team at Société Générale Assurances. As a Compliance Officer, you will play a pivotal role in ensuring our institutional brokerage business remains compliant with all relevant regulations and laws.Key ResponsibilitiesAdvise the front-office, management, and support staff on...

  • Regulatory Compliance Manager

    4 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China Hex Trust Full time

    Hex Trust is a leading digital asset custodian, licensed and insured to provide secure and compliant solutions for the Web3 ecosystem.Job SummaryWe are seeking a highly skilled Responsible Officer to oversee the maintenance and application of SFC Type 1 and 4 licenses, ensuring compliance with Hong Kong securities and futures regulations.Duties and...

  • Regulatory Compliance Specialist

    4 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China Hex Trust Full time

    Job Title: Regulatory Compliance SpecialistHex Trust is a leading digital asset custodian seeking a highly skilled Regulatory Compliance Specialist to oversee and support the next stage of the Company's growth & expansion. The successful candidate will be responsible for obtaining and maintaining SFC Type 1 (Dealing in Securities) and Type 4 (Advising on...

  • Regulatory Compliance Specialist

    4 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China IQ-EQ Full time

    Job SummaryWe are seeking a highly skilled Regulatory Compliance Specialist to join our team at IQ-EQ. The ideal candidate will have a strong background in regulatory compliance and exceptional client-facing abilities.Key ResponsibilitiesClient Management: Serve as the primary point of contact for clients, delivering compliance consultancy services to...

  • Regulatory Compliance Specialist

    4 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China Jane Street Full time

    About the RoleWe are seeking a highly skilled Regulatory Compliance Specialist to join our Hong Kong team. As an Advisory Compliance Officer, you will work closely with internal business groups to identify, advise, analyze and resolve regulatory reporting and compliance issues relating to Jane Street's Asian Business.Your key responsibilities will...

  • Regulatory Compliance Expert

    4 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China Jane Street Full time

    About the PositionWe're looking for a diligent Regulatory Compliance Expert to join our Legal and Compliance team at Jane Street. This role involves ensuring our Asia offices operate in compliance with local, APAC, and international regulations. You'll be responsible for regulatory filings, trade surveillance, monitoring tasks, and overseeing control room...

  • Compliance Manager

    4 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China Bank Of China (Hong Kong) Limited Full time

    Job SummaryWe are seeking a highly skilled Compliance Manager to join our team at Bank Of China (Hong Kong) Limited. As a key member of our Compliance Division, you will be responsible for providing advisory services to designated business units regarding regulatory compliance issues.Key ResponsibilitiesProvide expert advice on regulatory compliance matters...

  • Regulatory Compliance Manager

    4 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China Interactive Brokers Full time

    Head of Compliance Hong KongJob SummaryThe Head of Compliance Hong Kong will oversee and advise on all Hong Kong-related compliance and regulatory matters. This includes being the primary liaison to the SFC exchanges and other regulatory bodies, researching and interpreting compliance with laws, regulations, and guidance, and managing the implementation of...

  • Compliance Manager

    4 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China Bank Of China (Hong Kong) Limited Full time

    Job Title: Compliance Manager - Regulatory ExpertAt Bank Of China (Hong Kong) Limited, we are seeking a highly skilled Compliance Manager - Regulatory Expert to join our team.Key Responsibilities:* Provide advisory services to business units regarding regulatory compliance issues on new products/services and business propositions* Participate and assist in...

  • Regulatory Compliance Officer, Retail Banking

    1 month ago

    Hong Kong, Central and Western District, Hong Kong SAR China Pure Hong Kong Full time

    The RoleWe are seeking a highly skilled Regulatory Compliance Manager to join our Retail Banking team at Pure Hong Kong. As a senior member of the Regulatory Compliance Team, you will be responsible for providing compliance advice to our retail banking business, digital initiatives, and investment monitoring & surveillance.Your ProfileTo be successful in...

  • Global Compliance Risk Officer

    3 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China Citi Full time

    About CitiCiti is a global bank with a long history of innovation and leadership in the financial industry. With a presence in over 160 countries, we offer a wide range of financial products and services to individuals, businesses, and institutions.Job DescriptionWe are currently seeking a highly skilled Global Compliance Risk Officer - Regulatory Expert to...

  • Regulatory Compliance Officer

    3 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China Corporation Service Company Full time

    At Corporation Service Company, we are committed to providing top-notch Regulatory and Compliance Services that meet the evolving needs of our clients. Our team based in Hong Kong is dedicated to delivering exceptional services, including on-boarding processes and provision of FATCA/CRS services across various jurisdictions.Your ResponsibilitiesPerform...

Regulatory Compliance Officer

1 month ago

Hong Kong, Central and Western District, Hong Kong SAR China Corporation Service Company Full time

Job Title: Officer, Regulatory Compliance Services

Location: Hong Kong

Job Type: Full-time

Industry: Financial Services

About Us: Corporation Service Company is a leading provider of regulatory compliance services, ensuring our clients meet both local and global regulatory needs.

Job Summary:

We are seeking a highly skilled Regulatory Compliance Officer to join our team in Hong Kong. The successful candidate will be responsible for performing AML/CTF and KYC document reviews, preparing investor KYC packs, and ensuring effective communication with clients and investors.

Key Responsibilities:

  • Perform AML/CTF and KYC document reviews, including FATCA/CRS related forms/information
  • Prepare investor KYC packs and update the checklist/system
  • Perform FATCA/CRS Indicia and documentation review, and carry out validation and reasonableness checks
  • Assist in preparing FATCA/AEOI files and arrange reporting before regulatory deadlines
  • Ensure effective communication with clients and investors on KYC related matters
  • Escalate issues/potential issues to the Line Manager in a timely manner
  • Ensure strict compliance with internal procedures and guidelines, as well as regulatory requirements

Requirements:

  • Degree holder in Law, Accounting, Finance, Economics, or related discipline
  • Minimum 3 years of experience in client onboarding and investor services
  • Understanding of Know Your Customer (KYC) or Transfer Agency background is preferred
  • Proficiency in Microsoft Office suite, with emphasis on Excel skills
  • Excellent written and spoken English and Chinese, with conversational Mandarin
  • Independent, multi-tasking, meticulous, pro-active, attentive to details, self-motivated
  • Able to adapt to new challenges and with excellent communication skills

What We Offer:

Corporation Service Company offers a competitive salary and benefits package, as well as opportunities for professional growth and development.

How to Apply:

Interested candidates should submit their resume and cover letter to [insert contact information].