Compliance Expert Equities

Job OverviewWe are seeking a seasoned Senior AML Compliance Expert to lead our Equities/Securities team in Hong Kong.Key Responsibilities:Develop and implement comprehensive AML/CTF policies, procedures, and monitoring programs for relevant business activities.Provide guidance and advisory to senior management and business units on AML/CTF matters.Manage the...

Job SummaryThis role is part of the Equities Compliance team at CLSA, reporting to the Head of Equities Compliance. The team provides comprehensive compliance coverage to Institutional Equities Sales and Trading Business and Equities Derivatives Department.Main ResponsibilitiesContribute to the development and update of compliance manuals and procedures in...

About the RoleWe are seeking a skilled and experienced Global Compliance Expert to join our team at Allianz Global Investors.Job DescriptionThe successful candidate will be responsible for providing expert advice on Anti-Financial Crime Compliance matters, including AML/CFT, ABC, Sanctions, Fraud and FATCA/CRS. They will work collaboratively with team...

At Ambition, we are seeking an experienced Compliance Expert to join our team in the field of Life Insurance.About the RoleThis is a challenging and rewarding opportunity to work with a highly skilled team to ensure compliance with relevant regulatory requirements. As a Compliance Expert, you will be responsible for providing advice and support on AML/CTF...

Ashford Benjamin Ltd is seeking a seasoned Compliance Expert to join our team in the capacity of KYC Manager.About the RoleAs a key member of our compliance team, you will be responsible for overseeing and managing the Know Your Customer (KYC) process for new and existing clients. This involves ensuring adherence to regulatory standards and internal...

Aptitude Asia is a dynamic organization that requires a seasoned professional to lead its compliance operations.Job Description:The Director, Compliance Services will be responsible for managing the day-to-day compliance activities of licensed entities within Aptitude Asia's portfolio, encompassing fund managers, broker-dealers, and payment service...

About NLSNLS is a global investment bank seeking a talented Equity Derivatives RAD Developer to join their team in Hong Kong.Key Responsibilities:Design, implement and maintain risk and PnL applications for the equity derivatives trading desk.Develop tools and systems for real-time risk monitoring, scenario analysis and profit and loss...

Job SummaryWe are seeking a highly skilled Regulatory Compliance Expert to join our team at Bank of China (Hong Kong) Limited. As a key member of our compliance department, you will play a critical role in ensuring that our business activities align with relevant laws and regulations.

Job DescriptionWe are seeking a highly skilled Senior Compliance Manager to join our team at Bank of China (Hong Kong) Limited.ResponsibilitiesProvide expert advice to business units on regulatory compliance matters related to investment or insurance products/services, ensuring alignment with relevant laws and regulations.Participate in and assist with...

**Job Description**The Bank of China (Hong Kong) Limited seeks a highly skilled Compliance Expert to join its team in Anti-Money Laundering (AML) and Counter-Terrorism Financing (CTF). In this critical role, you will be responsible for ensuring the bank's compliance with relevant government regulations and guidelines.**Key Responsibilities**

About MRA SearchMRA Search is a pioneering recruitment agency specializing in the placement of highly skilled professionals across various industries.Job DescriptionWe are currently seeking a Financial Compliance Expert - APAC to join our esteemed client, a leading trust service provider with a strong presence in APAC.Key Responsibilities:Manage all...

Company Overview">Pure Hong Kong is one of the leading asset managers in Hong Kong and Asia Pacific, with a strong compliance culture in place.">The Role">As a Compliance Expert, you will be part of the Regional Compliance team, reporting to the Regional Head of Compliance. You will handle all-rounded compliance duties for our Asia business, including...

Company Overview:ACCA Careers is a well-established research firm with a global presence. We provide professional services to a wide range of clients, including top-tier hedge funds and asset managers.Job Description:Produce in-depth research on private and public markets across all industries for specific regions.Generate potential investment ideas and...

Job Overview">We are seeking a highly skilled Regulatory Compliance Expert to join our team at Harbridge Partners Limited. As a key member of our compliance function, you will play a critical role in ensuring the firm's clients adhere to all relevant anti-money laundering (AML) regulations.">About the Role">The successful candidate will be responsible for...

Established research firm with a global presence, provides professional services to top-tier clients across the investment landscape.About Your New RoleConduct in-depth market analysis for various regions and industries.Develop and vet potential investment ideas through due diligence.Foster relationships with industry experts and drive discussions with...

Job OverviewAshford Benjamin Ltd is seeking an experienced Strategic APAC Regulatory Compliance Expert to lead our Regional Compliance program in accordance with the group standard.Key ResponsibilitiesAct as Regional Compliance Representative, overseeing regulatory compliance, financial crime, market conduct, data protection, and privacy matters.Develop and...

Company Overview:As a leading financial institution, Wells Fargo is committed to delivering exceptional services to its customers while maintaining the highest standards of regulatory compliance.Job Description:We are seeking an experienced Senior Capital Markets Transaction Reporting Specialist to join our team. The successful candidate will be responsible...

Company OverviewUnicorn Advisor (HK) Limited is a leading advisory firm that specializes in providing strategic guidance to clients across various industries. Job SummaryWe are seeking an experienced Senior Compliance Expert to join our team. The ideal candidate will have strong expertise in fixed income and commodities trading compliance, with a proven...

About the RoleWe are seeking a seasoned Compliance Manager to join our team in Hong Kong.Key Responsibilities:Ensure adherence to regulatory requirements and guidelines in compliance with banking and financial industry ordinances;Collaborate with stakeholders to implement effective compliance strategies and procedures;Support new projects and services...

About the RoleThe Senior Compliance position within the Equities Compliance team at CLSA requires a professional with a strong background in compliance and regulation. This individual will contribute to the development and maintenance of compliance policies and procedures, ensuring adherence to regulatory requirements.ResponsibilitiesSupport the Head of...