Senior Equities Compliance Specialist

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...

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...

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...

Company Overview">Aptitude Asia is a leading provider of innovative financial solutions.Job Title: Senior Equity Front Office IT Specialist - FIX Onboarding, Investment BankSalary: $120,000 - $180,000 per annumJob Description:We are seeking an experienced Senior Equity Front Office IT Specialist to join our team. The successful candidate will be responsible...

About the RoleHang Seng Bank Limited is seeking a highly skilled Senior Equity Financing and Structuring Specialist to join our team. As a key member of our Global Markets business, you will be responsible for equity financing and structuring, including profit contribution, risk management, pricing, design of processes/system solutions, due diligence and...

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,...

**About NLS**NLS is a global financial institution seeking a highly skilled Senior Equity Derivatives Development Specialist to join its expanding team.This role involves designing and developing a real-time equity derivatives pricing and risk system in collaboration with fellow developers, QA specialists, and production support teams. The ideal candidate...

DARMAX GLOBAL Prime Brokerage Middle Office RoleEstimated salary: $120,000 - $200,000 per annum.Job OverviewWe are seeking an experienced Senior Equity Lending Specialist to join our Prime Brokerage Middle Office team in APAC. The successful candidate will be responsible for managing the trade life cycle after execution, including trade capture, validation,...

About UsChina Life Franklin Asset Management is a joint venture asset manager that combines the strengths of China Life Group and Franklin Templeton Investments.Job SummaryWe are seeking a Senior Compliance Specialist to join our team. The ideal candidate will have strong passion in joining a legal role in the financial industry to assist in our Compliance...

Compliance and Risk ManagementCiti, a global leader in financial services, is seeking a highly skilled Senior Compliance Analyst - Complaint Resolution Specialist to join our team. With over 200 years of experience, we provide a broad range of financial services and products to clients worldwide.This role is part of our efforts to deliver exceptional...

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...

Job DescriptionWe are seeking a skilled Senior Equity Solutions Specialist to join our team at CICC. As a key member of our Structuring department, you will be responsible for producing and marketing relevant content on single stock, customized basket, and indices to investors across the globe.Your primary focus will be on direct interaction with clients,...

Job DescriptionThis role is part of our Client Services Team, within the Public Equities & Credit vertical.As an Associate, you'll be the person driving relationships by enabling our clients to connect to the industry experts that will help them. During your initial training period, you'll hone your skills targeting, sourcing and screening relevant industry...

Job DescriptionThis role is part of our Client Services Team, within the Public Equities & Credit vertical.As an Associate, you'll be the person driving relationships by enabling our clients to connect to the industry experts that will help them. During your initial training period, you'll hone your skills targeting, sourcing and screening relevant industry...

Discover a challenging career opportunity as a Compliance Specialist in the Asia Pacific markets with Societe Generale Assurances.About the RoleWe are seeking an experienced Compliance Specialist to join our team in Hong Kong. As a key member of our compliance function, you will play a vital role in ensuring that our Equities & Equity Derivatives business...

**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...

Job SummaryWe are seeking an experienced Senior Legal Compliance Specialist to join our team at Classy Wheeler Limited. This role is responsible for managing a variety of commercial contracts and projects, ensuring compliance with company policies and procedures, applicable laws, and customer requirements.About the RoleAs a Senior Legal Compliance...

At Larson Maddox, we are seeking a Senior Compliance Specialist to join our team in the APAC Region.Job Responsibilities:Assist in the development and implementation of compliance policies and procedures for the asset management business, ensuring adherence to regulatory requirements in China and relevant international standards.Conduct risk assessments and...

Job DescriptionAptitude Asia is seeking a highly skilled Equity Trading Systems Specialist to join our team.Responsibilities:Maintain high availability and business continuity for the firm's trading systems, ensuring seamless execution of cash equity trades across multiple platforms, including Fidessa, Market Trader, ULBridge, and exchange connectivity...