Equities and FICC Compliance Officer

The CICC Group of Companies requires a highly skilled Compliance Officer to provide regulatory coverage for its Equities, FICC and Wealth Management business activities conducted from Hong Kong. This role will focus on the sales and trading business activities across products.Key Responsibilities:Providing compliance advisory to the Equities, FICC and Wealth...

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...

About eFinancialCareerseFinancialCareers is a leading job search platform for finance professionals. We help top talent find their next career opportunity and support companies in finding the best fit for their open positions.Job Description:We are seeking an experienced Regulatory Compliance Specialist to join our team in Hong Kong. As a key member of our...

CICC seeks a seasoned Compliance Officer to join its team in Hong Kong. This is an exciting opportunity to work in a dynamic environment and contribute to the firm's success by providing high-quality compliance advice and support.Main Responsibilities:Collaborate with the Equities, FICC and Wealth Management departments to identify and mitigate potential...

Job DescriptionThe Director of Equities Advisory Compliance will provide proactive compliance advisory services and manage regulatory requirements with a focus on HKEX and SFC regulations.Key Responsibilities:Lead the Equities Advisory Compliance function, providing expert guidance on compliance matters related to equities trading.Proactively interpret and...

About This RoleThis is an exciting opportunity to join a leading investment bank and contribute to the development of their equities trading compliance function.Key Accountabilities:Provide expert guidance on compliance matters related to equities trading.Develop and implement compliance strategies and initiatives.Conduct regular reviews of equities advisory...

Credit Risk VP at Links InternationalJob Summary:We are seeking an experienced Chief Risk Officer to lead our credit risk management efforts, providing strategic guidance and oversight to ensure the effective management of counterparty credit risk and issuer default risk across multiple trading desks.The successful candidate will be responsible for...

Legal and Compliance Manager RoleThis is a key position within our client's private equity firm, responsible for overseeing regulatory compliance and fund management. The successful candidate will be expected to manage legal and compliance aspects, focusing on regulatory adherence and fund operations. This includes developing and enforcing compliance...

We are looking for a highly skilled Financial Markets Operations Specialist to join our team at KGI 凱基. As a key member of our team, you will be responsible for supporting and overseeing the end-to-end trading lifecycle, including trade booking, monitoring, validation, workflow control, break investigations, settlements, and more.You will also support...

We are seeking a Trader to execute equities and FICC trades for a top Long Only Fund. Key responsibilities include:Executing fixed income and equity trades. Demonstrating strong fundamental and technical market skills. Presenting trade ideas and communicating market insights to investment teams. Building and maintaining broker relationships and participating...

Position Description The role will provide support to the FICC business division internationally across various CLSA entities in Hong Kong, Singapore, Japan, UK and US, as FICC operates in many different regulatory jurisdictions. The person will be working independently to open accounts and onboard new relationships based on CITIC CLSA's required standards...

Our client, a leading hedge fund in Hong Kong, is seeking a skilled Compliance Manager to join their team. This individual will be responsible for ensuring adherence to regulatory requirements and guidelines.Key responsibilities include:Reporting directly to the Chief Operating Officer (CCO) while collaborating with a compliance colleague.Oversight of...

Legal and Compliance Manager - Private Equity - 50-60K This range is provided by Larson Maddox. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more. Base pay range $600,000.00/yr - $720,000.00/yr Company Overview: Our client, a leading Hong Kong-based private equity firm, is seeking a Legal and Compliance...

Compliance Specialist (Fund Solutions)We are seeking a highly skilled Compliance Specialist to join our team in Hong Kong. As a key member of our Fund Solutions group, you will be responsible for ensuring compliance with regulatory requirements and providing guidance on risk assessments.The ideal candidate will have a strong understanding of AML regulations...

KGI 凱基 is seeking a highly skilled Middle Office Team Lead to join our team. As a key member of our team, you will be responsible for supporting and overseeing the end-to-end trading lifecycle, including trade booking, monitoring, validation, workflow control, break investigations, settlements, and more.You will also support our KYC process, take on new...

Job Responsibilities:Looking for a driven individual with credit sales experience to join the Loan Capital Markets team Great opportunity particularly for those looking to move into a front office role and work with an experienced team in the Asian credit space Execution of a wide range of credit financings across Asia Pacific with a focus on Greater China....

At Citi, we get to connect millions of people across hundreds of cities and countries every day. And we've been doing it for more than 200 years. We do this through our unparalleled global network. We provide a broad range of financial services and products to our clients - whether they be consumers, corporations, governments or institutions - to help them...

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...

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...

Global Sales Operations Manager at Phaidon InternationalThis role offers the opportunity to work in a fast-paced environment and make a significant impact on the company's success.Responsibilities:Provide compliance advisory services to the equities trading team.Develop and maintain knowledge of HKEX and SFC regulations.Collaborate with internal stakeholders...