Regulatory Compliance Specialist for Financial Institutions

Job SummaryWe are seeking a highly experienced Regulatory Compliance Specialist to join our team at Global Executive Consultants Ltd. in Hong Kong.About the RoleThe successful candidate will be responsible for overseeing general compliance for Type 1, 4, and 9 licenses, ensuring daily operations comply with Hong Kong SFC and/or other regulatory requirements,...

Company Overview:Hong Kong Exchanges and Clearing Limited (HKEX) is a leading financial market operator, connecting people and businesses across Asia. Our mission is to provide world-class trading, clearing, and risk management services.About the Role:The Regulatory Policy & Markets team under Group Compliance manages an internal service to facilitate...

Larson Maddox seeks a skilled Financial Markets Regulatory Compliance Specialist to ensure the company's equities trading activities adhere to regulatory standards and internal policies.Key Responsibilities:Conduct comprehensive monitoring and testing of equities trading activities to prevent market abuse and irregularities.Perform trade surveillance to...

Job DescriptionWe are seeking a highly skilled Regulatory Compliance Specialist to join our team at Be Myjob Company Limited.Company OverviewBe Myjob Company Limited is a leading financial institution dedicated to providing exceptional services to our clients. Our company prides itself on its commitment to excellence, innovation, and customer...

At Citi, we have a rich history of providing innovative financial services and products to our clients. With over 200 years of experience, we've established an unparalleled global network that connects millions of people across hundreds of cities and countries every day.We provide a broad range of financial services and products to our clients - whether they...

Job OverviewWe are seeking a highly skilled Regulatory Compliance Specialist to join our team at Larson Maddox in Hong Kong.About UsLarson Maddox is a leading investment bank committed to excellence in financial services. Our dynamic team is dedicated to ensuring compliance and operational integrity while supporting our clients' diverse needs.Job...

Job DescriptionWe are seeking a seasoned Regulatory Compliance Specialist to join our team at JC Executive Search. As a key member of our organization, you will play a vital role in ensuring that our clients' businesses operate in compliance with relevant regulations and laws.Key Responsibilities:Draft and review documents related to compliance matters,...

Job Description:A leading financial institution, Ashford Benjamin Ltd, is seeking a seasoned Compliance Specialist to join their Asset Management team. In this pivotal role, you will be responsible for ensuring the company's compliance with regulatory requirements and maintaining a strong control framework.Key Responsibilities:Regulatory Oversight:...

At Global Executive Consultants Ltd., we are seeking a highly skilled Senior Financial Regulatory Compliance Specialist to join our team.Key Responsibilities:Regulatory Document Management: Implement digitalization projects, liaise with parties for regulatory document stocktake and data collection, identify and report issues about documents or...

We are Classy Wheeler Limited, a renowned financial services group. To support our continuous growth in the securities and futures division, we are now seeking a highly skilled Regulatory Compliance Specialist to join our team in Hong Kong.Job SummaryThis role is responsible for ensuring that company policies, internal control procedures, and manuals are...

Job Title: Compliance Expert - Regulatory Affairs SpecialistWe are seeking an experienced Compliance Expert to join our team at SUPER Corporate Consultancy Group.About the Role:This is a senior-level position responsible for ensuring compliance with relevant regulatory requirements across various business units.Key Responsibilities:Regulatory Compliance:...

Classy Wheeler Limited, a renowned listed securities brokerage company in Hong Kong, is seeking an experienced Senior Regulatory Compliance Specialist.About the RoleThe successful candidate will be responsible for ensuring that company policies and internal control procedures are up-to-date with regulatory requirements and monitor adherence to these...

Fusion Bank Limited is seeking a highly skilled Regulatory Reporting Specialist to join our team.Job DescriptionAs a key member of our Finance department, you will be responsible for preparing and reviewing banking returns, ensuring compliance with regulatory requirements. Your role will involve analyzing financial data, implementing new accounting...

About Dah Sing Financial GroupThe Dah Sing Financial Group is a leading financial services group in Hong Kong, offering banking, insurance, and financial services through its extensive network of over 70 branches in Hong Kong, Macau, and Mainland China. Our core values are centered around caring, teamwork, and progressiveness. We recognize that every...

Job Summary">We are seeking an experienced Compliance Manager to join our team at Frontier Financial Group. In this role, you will be responsible for developing and implementing compliance frameworks that ensure our company policies and regulations are met.">Responsibilities:">">Develop and implement a comprehensive compliance framework that aligns with...

Job Description:About UsQHire Ltd is a leading financial services company that requires a skilled compliance specialist to join our team.Job SummaryWe are seeking an experienced Compliance Associate/AVP who will be responsible for ensuring the company's compliance with regulatory requirements. The successful candidate will have a minimum of 3 years'...

Company OverviewMRA Search is a leading recruitment agency with a focus on financial services. Our team of expert recruiters has an in-depth understanding of the industry and its requirements.SalaryThe estimated salary for this position is HKD 600,000 - HKD 800,000 per annum, depending on experience.Job DescriptionKey Responsibilities:To ensure that Markets...

The OpportunityWe are seeking a seasoned Compliance Officer to join our team at Pure Hong Kong, as a key member in the regional compliance function. This role will be responsible for providing expert regulatory advice across our capital markets and institutional banking business.As a specialist in local regulatory requirements and financial products, you...

**Job Overview**We are seeking a highly skilled Market Abuse Specialist to join our team at a prominent global financial institution. This is an excellent opportunity for a motivated professional to contribute to the prevention and detection of market abuse, ensuring compliance with regulatory requirements.**About Us**Our client, a leading player in the...

**Job Overview**Pure Hong Kong is seeking a highly skilled Regulatory Compliance Professional to join our team in HK. This role will be responsible for providing regulatory compliance advice for our capital markets & institutional banking business.The successful candidate will possess sound knowledge of local regulatory requirements and different financial...