Current jobs related to Trading Compliance Officer - Hong Kong Island - Larson Maddox

  • A-Shares Trading Compliance

    1 week ago

    Hong Kong Island, Hong Kong SAR China Larson Maddox Full time

    A-Shares Trading Compliance (HK or Shanghai Based)A leading financial services firm is seeking a highly skilled Trading Compliance Officer to join our team. This role offers an exciting opportunity to work in a dynamic environment and contribute to our growing business. The headcount is based in Hong Kong or Shanghai.Key ResponsibilitiesProvide expert...

  • Derivatives Trading Specialist

    6 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China Eclipse Trading Full time

    Eclipse Trading is a leading proprietary derivatives trading firm in Asia, with a presence in Hong Kong, Sydney, Shanghai, and Chicago. Since its inception in 2007, the company has grown to employ over 100 professionals across its offices.As a Derivatives Trading Specialist, you will play a pivotal role in managing and improving systematic and positional...

  • Compliance Officer

    3 weeks ago

    Hong Kong Island, Hong Kong SAR China CICC Full time

    Compliance Officer (Secondary Markets Compliance)Reporting to the Head of Secondary Markets Compliance, the right incumbent will be responsible for providing compliance coverage to the CICC group of companies (the "Firm") for its Equities, FICC and Wealth Management business activities conducted from Hong Kong, with a focus on the sales and trading business...

  • Eclipse Trading Specialist

    5 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China Eclipse Trading Full time

    Company OverviewEclipse Trading is one of Asia's leading proprietary derivatives trading firms, founded in 2007. With over 100 employees across four office locations, we have established a strong presence globally. Our trading expertise and strategies are deployed across various markets, focusing on products such as equity derivatives, delta one, ETFs,...

  • Risk Compliance Officer

    6 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China Allianz Popular SL. Full time

    About the RoleWe are seeking an experienced Compliance Manager to join our team in Hong Kong. As a key member of our Investment Compliance team, you will be responsible for ensuring that all AllianzGI's activities in Asia Pacific offices satisfy regulatory requirements.Key Responsibilities:Develop and implement policies, procedures, and controls to ensure...

  • Compliance Officer

    2 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China Larson Maddox Full time

    Position Overview: We are seeking a dedicated Compliance Officer/Manager to join our Legal and Compliance (L&C) team. The successful candidate will play a crucial role in ensuring our firm adheres to all regulatory requirements and maintains the highest standards of compliance. Key Responsibilities:Compliance Reviews & Monitoring: Conduct compliance reviews...

  • Regulatory Compliance Officer

    7 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China Allianz Popular SL. Full time

    About the Role:We are seeking a highly skilled Regulatory Compliance Officer to join our team at Allianz Global Investors. As a key member of our Investment Compliance team, you will be responsible for ensuring that all of our activities in Asia Pacific comply with relevant regulatory requirements.Key Responsibilities:Contribute to the development and...

  • Compliance Officer

    4 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China Da Cheng International Asset Management Company Limited Full time

    Da Cheng International Asset Management Co., Ltd. (hereinafter referred to as "DC International" or the "Company"), established on March 19, 2009 with a registered capital of HK$130 million, is a wholly-owned subsidiary of Dacheng Fund Management Co., Ltd. located in the Hong Kong Special Administrative Region of the People's Republic of China. As one of the...

  • Asset Management Compliance Officer

    6 days ago

    Hong Kong Island, Hong Kong SAR China ACCA Careers Full time

    About the Role:The Senior Compliance Analyst will be responsible for providing support to the compliance programs and activities across APAC and within a global framework. This includes monitoring and testing of regulatory and corporate compliance obligations, supporting the execution of the global trade and communication surveillance program, and providing...

  • Compliance Officer

    2 hours ago

    Hong Kong Island, Hong Kong SAR China Classy Wheeler Limited Full time

    Our client is a renowned financial services group. To cope with continuous growth in the securities and futures division, they are now urgently looking for a Compliance Officer / Senior Officer to join the team in Hong Kong.Job DescriptionEnsure company policies, internal control procedures, and manuals are up-to-date with regulatory requirements and monitor...

  • Crypto Market Strategist

    11 minutes ago

    Hong Kong, Central and Western District, Hong Kong SAR China Eclipse Trading Full time

    About UsEclipse Trading is a leading proprietary derivatives trading firm in Asia, founded in 2007. We have over 100 employees across four office locations – Hong Kong, Sydney, Shanghai, and Chicago.Our trading expertise and strategies are deployed across several markets globally, focusing on various products including equity derivatives, delta one, ETFs,...

  • CHIEF COMPLIANCE OFFICER

    3 weeks ago

    Hong Kong Island, Hong Kong SAR China Madison Pearl Full time

    CHIEF COMPLIANCE OFFICER | Digital BankingCHIEF COMPLIANCE OFFICER | Digital Banking (AML focus)Senior executive positionOur client is one of Hong Kong's licensed digital banking groups with an established local business spanning both retail and corporate clients. As an industry-leading banking institution, their governance functions ensure compliance with...

  • Compliance Officer

    6 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China Larson Maddox Full time

    CLIENT BACKGROUND We are seeking a diligent and proactive Compliance Officer to join our team. The successful candidate will be responsible for overseeing general compliance activities, including staff dealing, SFC and head office reporting, KYC, and AML. This role requires a professional with a solid understanding of compliance regulations and familiarity...

  • Compliance Officer: Regulatory Expertise

    2 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China Larson Maddox Full time

    Position Overview:Larson Maddox is seeking a dedicated Compliance Officer/Manager to join its Legal and Compliance team.Key ResponsibilitiesConduct compliance reviews and ongoing monitoring of investment guidelines, including forensic transaction testing to detect unusual patterns or trading activities.Assist with regulatory compliance tasks such as...

  • Senior Compliance Officer for Equities and Securities

    11 minutes ago

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

    Job SummaryWe are seeking a Senior Compliance Officer to join our team at Harbridge Partners. The ideal candidate will have experience in AML compliance, preferably with trade surveillance experience, audit or related field in the financial services sector or with regulatory authorities.Main Responsibilities:Manage and lead a team in covering and managing...

  • Compliance Officer

    16 hours ago

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

    Qube Research & Technologies (QRT) is a global quantitative and systematic investment manager, operating in all liquid asset classes across the world. We are a technology and data driven group implementing a scientific approach to investing. Combining data, research, technology, and trading expertise has shaped our collaborative mindset, which enables us to...

  • Senior Compliance Officer

    2 weeks ago

    Hong Kong Island, Hong Kong SAR China Links International Full time

    Senior Compliance Officer (Global Payment Group) (84083) Central and Western District, Hong KongJob DescriptionWork on strategic projects aimed at enhancing the compliance infrastructure and collaborate with both local and international teams to address compliance issues across the business.Ensure compliance with all applicable laws and regulations under the...

  • Compliance Officer

    4 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China MRA Search Full time

    A global financial services firm is looking for a Compliance Officer for their asset management business   Roles and Responsibilities- • Advising the Asset Management business on regulatory compliance, risk identification, mitigation, and all regulatory matters • Ensuring compliance and operational risk controls are well in place and that...

  • Cybersecurity and Compliance Officer

    6 days ago

    Hong Kong Island, Hong Kong SAR China Rabobank Gruppe Full time

    We are looking for a highly experienced Cybersecurity and Compliance Officer to join our team. The successful candidate will be responsible for providing expert advice on Information Security and Business Continuity, ensuring that the bank's systems and data are protected from cyber threats.Key responsibilities include monitoring regulatory changes,...

  • Senior Compliance Officer

    2 weeks ago

    Hong Kong Island, Hong Kong SAR China St. James's Place – Asia & Middle East Full time

    The Senior Compliance Officer will be responsible for managing all licensing-related matters with the SFC, IA and MPFA. The role will conduct regular compliance monitoring reviews and manage and implement regulatory requirements and best practices set out by the regulators.The Senior Compliance Officer will also be required to work closely with the Business...

Trading Compliance Officer

1 week ago

Hong Kong Island, Hong Kong SAR China Larson Maddox Full time

At Larson Maddox, we are seeking a highly skilled Trading Compliance Officer to join our team. This role offers an exciting opportunity to work in a dynamic environment and contribute to our growing business.

Key Responsibilities

  • Provide expert compliance advice to the trading business, ensuring adherence to regulatory requirements.
  • Oversee and manage compliance programs related to trading activities, with a focus on A-shares.
  • Conduct regular compliance reviews and risk assessments.
  • Develop and implement compliance policies and procedures.
  • Liaise with regulatory bodies and internal stakeholders to ensure compliance standards are met.
  • Stay updated on regulatory changes and industry best practices.

Qualifications

  • Minimum of 5 years of experience in trading compliance within the financial services industry.
  • In-depth knowledge of A-shares and relevant regulatory frameworks.
  • Strong analytical and problem-solving skills.
  • Excellent communication and interpersonal skills.
  • Ability to work independently and as part of a team.
  • Fluency in Mandarin is preferred.