Current jobs related to Compliance Officer - Hong Kong, Central and Western District - CICC

  • Business Support Executive

    1 month ago

    Hong Kong, Central and Western District, Hong Kong SAR China Link Compliance Full time

    Are you an exceptional organizer and administrator seeking a challenging role in Hong Kong? Link Compliance is looking for a highly skilled Business Support Executive to join our team. As a key member of our staff, you will provide top-notch support to our CEO, handling various responsibilities that require discretion, attention to detail, and excellent...

  • AML Compliance Officer

    2 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China Global Executive Consultants Ltd. Full time

    AML Compliance Manager PositionA highly sought-after role has become available for a skilled AML Compliance Manager to join Global Executive Consultants Ltd. in Hong Kong.About the JobWe are seeking an experienced professional to oversee Anti-Money Laundering (AML) compliance across our operations. The successful candidate will be responsible for conducting...

  • Compliance Risk Officer for Independent Compliance

    1 week ago

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

    Company OverviewCiti is a leading global bank that offers a wide range of financial services to individuals, businesses, and institutions. With over 230,000 employees worldwide, Citi is committed to providing excellent customer service and building long-term relationships with its clients.Job DescriptionWe are currently seeking a highly skilled Compliance...

  • Equities Compliance Officer

    1 month ago

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

    Citi is seeking a highly skilled Equities Compliance Officer to join our team in Central, Hong Kong. As a critical member of our Compliance and Control department, you will play a vital role in ensuring that our firm's equities business operates in compliance with relevant laws, regulations, and internal policies.Reporting to the Head of Equities Compliance,...

  • Chief Compliance Officer

    1 month ago

    Hong Kong, Central and Western District, Hong Kong SAR China JH Partners Asia Company Limited Full time

    Job DescriptionWe are seeking a highly experienced Chief Compliance Officer to join our team at JH Partners Asia Company Limited.Key Responsibilities:Evaluate organizational policies and procedures to ensure alignment with regulatory requirements, ensuring the company remains compliant with relevant laws and regulations.Conduct comprehensive risk assessments...

  • Compliance Officer Specialist

    1 month ago

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

    At CICC, we are seeking a highly skilled Compliance Officer to join our team in Hong Kong. As a key member of our Secondary Markets Compliance department, you will be responsible for providing compliance coverage to our Equities, FICC, and Wealth Management business activities.Key Responsibilities:Provide expert compliance advice to the Equities, FICC, and...

  • Senior Compliance Officer

    4 weeks ago

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

    The Bank of China (Hong Kong) Limited is seeking a highly skilled and experienced Senior Compliance Officer to join our team.Job DescriptionWe are looking for a professional with strong analytical and problem-solving skills, excellent interpersonal and communication skills, and the ability to work effectively in a fast-paced environment. The successful...

  • Strategic Compliance Officer

    3 weeks ago

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

    We are seeking a highly experienced Legal and Compliance Director to join MatchTalent Limited. The ideal candidate will have at least 8 years of experience in legal and compliance roles, with a strong background in the financial sector.About the RoleThis position requires a proactive individual who can navigate complex regulatory environments and provide...

  • Compliance Risk Officer

    1 month ago

    Hong Kong, Central and Western District, Hong Kong SAR China 11062 Citibank, N.A. Hong Kong Full time

    Compliance and Risk Officer Role in CitiCiti, a global bank, is seeking a Compliance and Risk Officer to join its team in Hong Kong. This role will be part of the Compliance and Risk Management team, responsible for assessing and mitigating compliance risks in the Markets business.Key ResponsibilitiesDevelop and implement compliance testing programs to...

  • Compliance Officer for Investment Services

    4 weeks ago

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

    Job Title: Compliance Officer for Investment ServicesThe ConnectedGroup Limited is seeking a talented individual to join their team as a Compliance Officer for Investment Services. This role involves working closely with the COO and CCO to ensure compliance with existing ARP Compliance policies.Key Responsibilities:Conduct daily compliance monitoring,...

  • Compliance Officer

    1 month 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...

  • Chief Compliance Officer

    4 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China HARBRIDGE PARTNERS Full time

    Job DescriptionAs a key member of our team, the Chief Compliance Officer - APAC will play a critical role in ensuring that our Hong Kong operations are fully compliant with all relevant laws and regulations.About the RoleWe are seeking a seasoned compliance professional with extensive experience in financial services regulation. The successful candidate will...

  • Strategic AML Compliance Officer

    1 month ago

    Hong Kong, Central and Western District, Hong Kong SAR China United Overseas Bank Full time

    About the RoleUnited Overseas Bank Limited (UOB) seeks a Strategic AML Compliance Officer to join its team. As a key member, you will be responsible for providing guidance and support to the business units in implementing effective AML/CFT controls.Key ResponsibilitiesDevelop and maintain AML/CFT policies and procedures to ensure compliance with regulatory...

  • Compliance Officer

    4 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China AIA International Limited. Full time

    Job DescriptionAIA International Limited is seeking a seasoned Compliance Officer to join our team. As a key member of our compliance function, you will play a vital role in ensuring the effective implementation of regulatory compliance framework and policies across all entities under our oversight.About the RoleThis position supports the Head of Corporate...

  • Compliance Officer

    1 month ago

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

    Job DescriptionWe are seeking a seasoned Compliance Officer to join our team at Corporation Service Company. In this role, you will be responsible for managing Anti-Money Laundering (AML) risks associated with client operations.About the RoleThe successful candidate will serve as the designated AML compliance officer, money laundering reporting officer...

  • Product Compliance Officer, Wealth

    4 weeks ago

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

    Job OverviewCiti is seeking a skilled Product Compliance Officer, Wealth to join our team. In this role, you will be responsible for ensuring the compliance of our wealth management products with regulatory requirements. This is an exciting opportunity to work with a global financial institution and contribute to the development of our compliance...

  • Regulatory Compliance Officer

    3 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China Ashford Benjamin Ltd Full time

    Ashford Benjamin Ltd is seeking a highly skilled Regulatory Compliance Officer to join our team in the APAC region.Job SummaryThe successful candidate will be responsible for ensuring compliance with regulatory requirements across all aspects of our business, with a focus on Investment Research and Corporate Banking.Main Responsibilities:Providing compliance...

  • Senior Legal Compliance Officer

    1 month ago

    Hong Kong, Central and Western District, Hong Kong SAR China Konew FinTech Corporation Limited Full time

    We are seeking a Senior Legal Compliance Officer to join our team at Konew FinTech Corporation Limited. As a key member of our team, you will be responsible for executing legal proceedings and ensuring compliance with all relevant laws and regulations.Job DescriptionReview and analyze legal documents, including commercial contracts, court documents, and land...

  • Senior Compliance Officer, APAC

    4 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China WELLS FARGO BANK Full time

    We are seeking a highly skilled Senior Compliance Officer to join our team in Hong Kong. This role will provide primary compliance coverage for our APAC Investment Banking and Capital Markets business, including Debt Capital Markets and Mergers & Acquisitions, as well as secondary support to APAC Markets business.Job SummaryThe ideal candidate will be...

  • Compliance Officer

    1 month ago

    Hong Kong, Central and Western District, Hong Kong SAR China AXA Group Full time

    Job SummaryWe are seeking a highly skilled Compliance Officer to join our team as a Conduct Specialist. In this role, you will play a critical part in supporting the ongoing reinforcement of our Group Conduct Framework and Customer Protection initiatives across Asian entities.

Compliance Officer

2 months ago

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

Job Title: Compliance Officer

Job 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, and Wealth Management departments on all issues relating to day-to-day business.
  • Review new business and product proposals from a regulatory, best practice, and Firm standard perspective.
  • Maintain and update all relevant compliance manuals, policies, and procedures to ensure they properly reflect applicable legal and regulatory requirements, best practices, and Firm standards.
  • Work closely with other compliance teams on AML, licensing, and surveillance matters.
  • Handle compliance issues and incidents in conjunction with relevant stakeholders.
  • Identify and carry out the necessary actions to provide solutions needed to discharge effective compliance advice to the business.
  • Perform regular compliance risk and controls assessments.
  • Provide compliance training to business units and infrastructure support functions.
  • Liaise with regulators and internal auditors on various requests in relation to compliance issues.
  • Manage contacts and relationships with regulators, ensuring that communications with regulators are open and constructive.

Requirements:

  • Strong financial services compliance or regulatory legal background.
  • Excellent knowledge of Equities and FICC products-related regulations and exchange trading rules.
  • Prior experience in providing in-house compliance or regulatory legal coverage for securities sales and trading business is an advantage.

Skills and Abilities:

  • A professional with high integrity.
  • Excellent verbal and written communication skills.
  • Strong analytical skills, thoughtful.
  • Detailed-oriented.
  • Technology-savvy.
  • Fast learner.
  • Proactive and able to act independently.
  • Good team work skills.

Qualifications:

  • University degree.
  • At least 8 years of relevant compliance experience in providing public side compliance in financial institutions and/or regulatory authorities.