Trading Compliance Manager

1 month ago Be among the first 25 applicantsResponsibilitiesCompliance housekeeping matters - Maintain accurate records and documentation relating to corporate and compliance activities, including PA trading and conflicts.Regulatory reporting - Ensure and track compliance with relevant regulations, including CFTC, SEC, SFC, or AMAC-related filings.Assist in...

At Allianz Global Investors, we foster professionalism, fulfilment, and an inclusive environment. Do you want to be part of a leading active asset management company? Join us as a Compliance Manager in Hong Kong within the Investment Compliance team. The Investment Compliance team in Asia Pacific (AP) is based in Hong Kong and is responsible for executing a...

Compliance Role:We are seeking a detail-oriented Compliance Specialist to join our team at Infini-Capital. The successful candidate will have excellent analytical and communication skills and be able to work with minimal supervision.Key Responsibilities:Maintain accurate records and documentation relating to corporate and compliance activities, including PA...

Direct message the job poster from AccumulusResponsibilities:Design the trade surveillance system that can identify market manipulation, and enhance management of anti-money laundering/counter-financing of terrorism (AML/CFT) compliance;Advise on daily operational compliance and submit related reports for both external and internal use;Track regulatory...

About the RoleWe are seeking a highly skilled professional to join Accumulus as a Compliance Risk Manager. The successful candidate will be responsible for designing and implementing a trade surveillance system that can identify market manipulation and enhance management of anti-money laundering/counter-financing of terrorism (AML/CFT) compliance.The ideal...

Get AI-powered advice on this job and more exclusive features. Direct message the job poster from Larson Maddox Global Sales Operations Manager at Phaidon International Company Overview: Our client is one of the world's largest investment banks with a strong global presence. They are currently seeking a highly skilled Director of Equities Advisory Compliance...

Role Overview:Infini-Capital is seeking a highly motivated Compliance Specialist to join our team. The ideal candidate will have 4-8 years of hedge fund compliance experience and be able to work independently and complete tasks in a timely manner.Responsibilities:Maintain accurate records and documentation relating to corporate and compliance activities,...

Job Description:Infini-Capital seeks a skilled Compliance Specialist to maintain accurate records and documentation related to corporate and compliance activities. This role ensures compliance with relevant regulations, including CFTC, SEC, SFC, or AMAC-related filings.Key Responsibilities:Maintain accurate records and documentation relating to corporate and...

The Ideal CandidateStrong financial services compliance or regulatory legal background.Excellent knowledge of Equities and FICC products related regulations and exchange trading rules.Prior experience in providing in-house compliance or regulatory legal coverage for securities sales and trading business is an advantage.

Equities Trading ManagerThis role requires a deep understanding of global markets and knowledge of local counterparties such as technology vendors, regulators, and brokers.Key ResponsibilitiesCollaborate with cross-functional teams to achieve market connectivity, cash equities, and program trading business goals.Build strong relationships with sales/traders...

We are looking for a detail-oriented Pre and Post-Trade Lifecycle Manager to join our team.In this role, you will oversee the entire trade lifecycle, from pre-trade preparation to post-trade settlement.Duties and ResponsibilitiesManage the trade lifecycle, ensuring timely and accurate execution of trades.Collaborate with portfolio managers and other teams to...

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...

Director of Equities Advisory ComplianceLarson Maddox is seeking a highly skilled Director of Equities Advisory Compliance to join our team and drive proactive compliance advisory services in the equities trading domain.This role offers the opportunity to provide expert guidance on compliance matters related to equities trading, with a focus on HKEX and SFC...

About the PositionWe are seeking a Trade Surveillance Expert to join Accumulus. The successful candidate will be responsible for designing and implementing a trade surveillance system that can identify market manipulation and enhance management of AML/CFT compliance.The ideal candidate will have a bachelor's degree or above in law, accounting, or finance,...

Responsibilities Overview: The role will provide the successful candidate with a unique opportunity to apprehend the various capital markets surveillance matters across various activities and asset classes of a top-tier investment bank and will be evolving at the forefront of regulatory developments. The position will involve constant interaction with...

Director of Trading RegulationLarson Maddox is recruiting a highly skilled Director of Trading Regulation to lead our team and provide strategic guidance on compliance matters related to equities trading.This role offers the opportunity to proactively interpret and apply HKEX and SFC regulations to ensure that all equities trading activities align with legal...

Job Description:The China Construction Bank is seeking a talented Trading Specialist to join its team. In this role, you will be responsible for developing and implementing trading strategies, managing risk, and analyzing market trends to inform business decisions.Key responsibilities include:' Market analysis and trading strategy development' Risk...

Senior Project Manager, Equities Trading, ITSenior Project Manager, Equities Trading, ITApply locations Hong Kong time type Full time posted on Posted 7 Days Ago job requisition id JR001405 Key Areas of Responsibilities Help achieve Market connectivity, Cash Equities and Program trading business plan, through deep understanding of how Global markets operate,...

2 days ago Be among the first 25 applicantsGet AI-powered advice on this job and more exclusive features.Direct message the job poster from The Edge Partnership - The Edge in AsiaExperienced Recruiter | Legal & Compliance | FI & FinTech | HK & SGOur client is a renowned global Financial Services group currently hiring for an SVP Electronic Trading Risk...

Senior Project Manager, Equities Trading, ITSenior Project Manager, Equities Trading, ITApply locations Hong Kong time type Full time posted on Posted 7 Days Ago job requisition id JR001405Key Areas of ResponsibilitiesHelp achieve Market connectivity, Cash Equities and Program trading business plan, through deep understanding of how Global markets operate,...