Regional Equities Compliance Head

About the RoleThe Asia Pacific Equities Compliance Manager will provide regional compliance coverage for the clients Equities business, including Execution Services, Listed and OTC Derivatives, market making activities, Prime Brokerage, and Stock Borrowing and Lending.Key Responsibilities Provide regulatory advice and guidance to the Equities business in...

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,...

Job Summary:We are seeking a highly skilled Equities Compliance Specialist to join our team at Ashford Benjamin Ltd. The successful candidate will be responsible for providing compliance advice on APAC equities and electronic trading business.Key Responsibilities:Act as the primary contact person for regulatory and compliance matters related to market-making...

Key ResponsibilitiesAs a key member of the Ashford Benjamin Ltd team, you will provide critical compliance advice on APAC equities and electronic trading business. This includes acting as the primary contact person for regulatory and compliance matters related to market making activities.Key responsibilities include:Implementing compliance policies,...

Job Title: Regional Equity Research Analyst, AsiaAt Sun Life, we are seeking a highly experienced Regional Equity Research Analyst to join our team in Asia. As a key member of our research team, you will be responsible for providing in-depth analysis and research on ASEAN markets, including Indonesia, Malaysia, Thailand, and Singapore.Key...

Role Overview:Trevose Partners Limited seeks a highly skilled Compliance Officer to leverage our APAC and global programs to adhere to regulations and exchange rules. This role will involve developing and deploying a comprehensive compliance program across APAC offices, focusing on preventing, detecting, and responding to compliance risks and misconduct.The...

Job Title: Head of ComplianceHarbridge Partners is seeking a highly skilled and experienced Head of Compliance to join our team in Hong Kong. As a key member of our organization, you will be responsible for overseeing and advising on all Hong Kong-related compliance and regulatory matters.Key Responsibilities:Act as the primary liaison to the SFC exchanges...

Equities Compliance AssociateAt Larson Maddox, we are seeking an experienced Equities Compliance Associate to join our compliance team. This role is ideal for candidates with a strong background in trade surveillance and a deep understanding of global market compliance.Key ResponsibilitiesDevelop and enhance compliance policies and procedures tailored to...

Larson Maddox is seeking a skilled Equities Compliance Associate to join our compliance team. This role is ideal for candidates with a strong background in trade surveillance and a deep understanding of global market compliance.Key Responsibilities:Collaborate with trading desks and other stakeholders to provide compliance guidance and support.Conduct trade...

Job Title: AML Compliance Specialist, Equities/SecuritiesAbout the Role:We are seeking a highly motivated and experienced AML Compliance Specialist to join our team in Equities/Securities. As a key member of our Compliance team, you will be responsible for ensuring that our business activities comply with all relevant AML/CTF regulations and laws.Key...

{"Responsibilities": "Key ResponsibilitiesLeads the delivery of business KPIs in designated branches, focusing on customer acquisition and growth, as well as providing excellent sales services.Collaborates with branch managers to design sales strategies and business plans, and drives effective human resources management.Works closely with various departments...

Job SummaryWe are seeking a highly experienced and skilled Head of Markets Compliance Director to join our team at Deutsche Bank Aktiengesellschaft, Filiale Hongkong. The successful candidate will be responsible for leading the Compliance Programme within Hong Kong Markets, promoting an environment that fosters constructive challenge and behavioral change to...

**Job Overview**Larson Maddox is seeking an experienced Compliance Vice President to oversee our equities compliance program. The ideal candidate will have at least 5 years of experience in compliance within the financial services sector.Responsibilities:Develop, implement, and maintain comprehensive compliance policies and procedures for cash equities and...

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...

Unlock Your Potential with MUFGAre you ready to make a meaningful impact in the financial industry? MUFG is seeking a highly skilled and experienced professional to join our team as a Regional Head of Program Management and Financial Crimes.About the RoleThis is a key role in the region, responsible for providing oversight and management over different...

Key Responsibilities:As a seasoned legal professional, you will lead and mentor a team of experts, driving a culture of excellence and continuous improvement.Strategic Leadership:Develop and implement strategic plans to drive business growth and mitigate risks.Collaborate with internal stakeholders to support business objectives and ensure regulatory...

Job DescriptionLarson Maddox is seeking an experienced Equities Compliance Associate to join our compliance team. This role is ideal for candidates with a strong background in trade surveillance and a deep understanding of global market compliance.Key ResponsibilitiesDevelop and enhance compliance policies and procedures tailored to global markets, ensuring...

Head of Securities Operations - A Leadership OpportunityTalentWeb is seeking a seasoned professional to lead our Securities Operations team in Hong Kong. As Head of Securities Operations, you will be responsible for driving operational excellence, ensuring compliance with regulatory standards, and building a dynamic team culture.Key Responsibilities:Lead a...

Responsibilities:Develop a compliance strategy and guidelines to support iCapital's growth across APAC in a sustainable and compliant manner.Collaborate closely with senior management, colleagues, regulators, and external partners & stakeholders to identify and mitigate risks to the firm and its clients.Establish and implement policies, procedures, and...

About the RoleWe are seeking a highly skilled and experienced Head of Distribution Compliance to join our team at Company 28 - Manulife (International) Limited. As a key member of our compliance team, you will be responsible for leading the implementation of our compliance framework and ensuring that our distribution operations are in line with regulatory...