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...

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 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 Title: Regional Equities Compliance HeadAt Harbridge Partners, we are seeking a highly experienced Regional Equities Compliance Head to join our team in Hong Kong. As a key member of our Compliance Department, you will be responsible for providing guidance and advice to our Business Units and infrastructure and support staff across all our APAC...

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...

At Pearson, we are dedicated to creating vibrant and enriching learning experiences that make a real-life impact. As a Financial Compliance Specialist, you will play a vital role in ensuring the financial processes for China, Hong Kong, Taiwan, and Macau orders-to-cash process under legal entities in mainland China and Hong Kong are compliant with internal...

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...

Job SummaryDBS Bank (Hong Kong) Limited is seeking a skilled Equity Operations Specialist to join our team. As an Equity Operations Specialist, you will play a critical role in supporting the end-to-end processing of equity trade booking, matching, reconciliation, and settlement processes for DBS Vickers.Key ResponsibilitiesSupport the processing of equity...

Job Title: Strategic Equity Markets SpecialistAbout the Role:We are seeking a high-caliber professional to fill the position of Strategic Equity Markets Specialist at Global Executive Consultants Ltd.Key Responsibilities:Assist in executing equity capital markets transactions, including IPOs, pre-IPO investments, and fundraising initiatives.Provide liaison...

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...

Green Lake Executive Search Co. Limited is seeking a Risk Management Specialist for Equity Derivatives to join their team in this exciting role. As a Risk Management Specialist, you will be responsible for managing market risks associated with equity derivatives, requiring a minimum of 3 years of experience in this field. The role is flexible and offers a...

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...

Job DescriptionWe are seeking a highly experienced Risk Management Specialist to join our team in Hong Kong. This is an exciting opportunity for someone with a strong background in financial services compliance or regulatory legal experience.Main Responsibilities:Provide Risk Advisory Services: Provide comprehensive risk advisory services to the Equities,...

**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...

Job Title: Fixed Income/Equity Corporate Actions Data SpecialistBloomberg is a leading provider of financial data and analytics, and we're seeking a skilled Fixed Income/Equity Corporate Actions Data Specialist to join our team.About the RoleWe're responsible for acquiring, processing, and publishing financial data that powers the Bloomberg Terminal, the...

Job DetailsAs a Cash Equity Trade Support Specialist, you will be responsible for providing back-office oversight support covering trade settlement of the APAC markets.ResponsibilitiesProvide high service levels to clients and trading desk by addressing inquiries in a timely manner and escalating issues where appropriate.Contribute to projects/initiatives...

Job Description We are seeking a skilled Compliance Specialist to join our team at Société Générale Assurances. As an Executive Director, Risk Management Compliance, you will play a crucial role in advising and overseeing the Equities & Equity Derivatives business with respect to their management of regulatory and reputational risk. Key...