Equities Compliance Officer

Job OverviewCiti is a global bank with a commitment to supporting the growth and development of its employees. We are seeking a highly skilled Compliance Risk Officer to join our team in Hong Kong.Job SummaryThe Compliance Risk Officer will be responsible for assisting in the design, development, delivery, and maintenance of best-in-class compliance...

Job OverviewWe are seeking a highly skilled Compliance Officer to join our team in Hong Kong, providing compliance coverage to the CICC group of companies for its Equities, FICC, and Wealth Management business activities.This is an excellent opportunity for a professional with strong financial services compliance or regulatory legal background to take on a...

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 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...

At CICC, we are seeking a highly skilled Compliance Officer to join our team in Hong Kong. As a key member of our Secondary Markets Compliance department, you will be responsible for providing compliance coverage to our Equities, FICC, and Wealth Management business activities.Key Responsibilities:Provide expert compliance advice to the Equities, FICC, and...

Job Title: Compliance OfficerJob Summary:We are seeking a highly skilled Compliance Officer to join our team at CICC. The successful candidate will be responsible for providing compliance coverage to our Equities, FICC, and Wealth Management business activities conducted from Hong Kong.Key Responsibilities:Provide compliance advisory to the Equities, FICC,...

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 DescriptionHARBRIDGE PARTNERS seeks an experienced Senior Equities Compliance Specialist to join our team in Hong Kong.About the RoleThis is a senior leadership position that requires a deep understanding of equities compliance and regulatory requirements across Asia Pacific. As a key member of our compliance team, you will be responsible for providing...

Company OverviewHARBRIDGE PARTNERS is a leading financial services firm with a strong presence in the Asia Pacific region.We are seeking an experienced Regional Equities Compliance Specialist to join our team in Hong Kong.SalaryThe estimated salary for this role is HKD 750,000 - HKD 1,000,000 per annum, depending on experience.Job DescriptionThis is a senior...

At Larson Maddox, we are seeking an experienced Senior Equities Regulatory Compliance Specialist 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 ResponsibilitiesCompliance Policy Development: Assist in the development and enhancement of...

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 OverviewLarson Maddox is a Regional Investment Bank seeking a seasoned Vice President of Equities Compliance to lead its cash equities and derivatives compliance program.About the RoleThe ideal candidate will have at least 5 years of experience in compliance within the financial services sector, with a strong understanding of relevant regulations and...

Role OverviewWe are seeking an experienced Operations Equity Officer to join our team at DBS Bank (Hong Kong) Limited.

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...

Job SummaryWe are seeking a seasoned Compliance Expert to lead our Anti-Money Laundering (AML) efforts in Equities/Securities.

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...

Citi is a global leader in financial services, and we're committed to supporting your growth and development. As a VP, Equities Compliance Officer, you'll have the opportunity to expand your skills and make a difference at one of the world's most respected banks.We're currently looking for a high caliber professional to join our team based in Central, Hong...

About the RoleWe are seeking an experienced Senior AML Compliance Officer to join our team in Hong Kong. The successful candidate will have a strong background in AML compliance, preferably with trade surveillance experience, audit or related field in the financial services sector.Key ResponsibilitiesCovering and managing the team for AML/CTF, Trade...

Executive Assistant to CEO Job DescriptionCompany OverviewLink Compliance is a leading online gaming company based in Hong Kong. We are seeking an experienced Executive Assistant to support our CEO's business calendar and operations.Salary: $80,000 - $100,000 per annumJob DescriptionWe are looking for a highly skilled and organized individual to join our...

Wells Fargo is committed to hiring the best talent in the industry. Our company overview highlights our dedication to providing excellent customer service, risk management, and compliance-driven culture.We offer a competitive salary range of $120,000 - $180,000 per year, depending on experience and qualifications. This role plays a critical part in ensuring...