Compliance Officer

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...

As the Compliance and Risk expert in the Hong Kong office,  you will cover all aspects of conflict checks, analysis and AML.  Key responsibilities include:Managing the day to day conflict checks and analysis Being in charge of any ad hoc projects for Compliance in Hong Kong Reviewing database searches to ensure accuracy and completeness. Analyzing cases...

ResponsibilitiesProvide strategic guidance to businesses in the APAC region on regulatory matters, including conflicts of interest, confidentiality, securities trading, gifts and entertainment questions, outside business interests, recordkeeping, licensing, and regulatory disclosures.Serve as a subject matter expert on key Compliance risks for the APAC...

Job OverviewWe are seeking a Financial Compliance Officer to join our team in Hong Kong. As a key member of the Investment Compliance team, you will be responsible for ensuring that all Allianz Global Investors' activities satisfy regulatory requirements and internal policies.Develop and maintain policies, procedures, and controls to ensure compliance with...

At IGNITE RECRUITMENT HONG KONG LIMITED, we are seeking a highly skilled Compliance Officer Lead to join our team.About the RoleThe Compliance Officer Lead will be responsible for managing a team of compliance professionals to oversee the Bank's Anti-Money Laundering (AML) and Compliance function.This includes:Acting as the s72B manager of the AML &...

Job Summary:OSL is looking for a seasoned Regulatory Compliance Officer to support its growing operations in Hong Kong / Singapore. The successful candidate will be responsible for implementing and managing compliance programs, advising senior management on regulatory matters, and collaborating with internal stakeholders to drive process improvements.Key...

Report to Legal & Compliance Manager and Head of Legal & Compliance Provide compliance advice and solution to management and departments Develop, draft and review a broad range of business contracts, agreements, announcement, notice, correspondence, account opening documents, marketing materials, board resolutions, shareholders resolutions and other...

Job DescriptionWe are seeking a Compliance Manager to handle relevant compliance works of the company. The ideal candidate will draft and review documents, participate in project-related meetings, and support compliance work for new projects/services related to Payment Systems and Stored Value Facilities.Key Responsibilities:Drafting and reviewing...

Job Description Reporting to the Head of Secondary Markets Compliance, the right incumbent will be responsible for providng 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 activities across products. Key...

Job OverviewThe Compliance Manager will be responsible for handling relevant compliance works of the company, including drafting and reviewing documents, participating in project-related meetings, and conducting compliance self-assessment to meet regulatory requirements.

About the RoleWe are seeking an experienced Compliance Officer - Risk Management to join our team at SinoPac Securities (Asia) Limited. The successful candidate will be responsible for ensuring the effective management of risks and ensuring compliance with regulatory requirements.Main Responsibilities:Coordinate with other departments on legal, compliance,...

About the RoleWe are seeking a highly motivated and experienced Compliance Officer to join our team in Asia Pacific. As a key member of the Compliance team, you will be responsible for ensuring that our business activities are conducted in accordance with relevant laws and regulations.The ideal candidate will have extensive experience in compliance, with a...

Responsibilities:Conduct real-time monitoring and surveillance of trading activities to detect and prevent market abuse and regulatory violations. Manage the Control Room operations, including oversight of MNPI, restricted lists, and information barriers. Utilize surveillance tools such as SMARTS, Actimize, and other data analytics tools to monitor and...

As a Transaction Monitoring Officer at Amber Group, you will play a critical role in supporting our mission to build a secure and trustworthy digital asset ecosystem.You will conduct transaction monitoring and market surveillance activities, investigate and escalate suspicious activities, and ensure adherence to regulatory compliance.Our team is comprised of...

**Job Overview**Bank Of China (Hong Kong) Limited is seeking a highly skilled Risk Management and Compliance Officer to join our team. As a key member of our organization, you will play a crucial role in designing and implementing various routine monitoring and compliance reports for Global Markets operational risks.**Key Responsibilities**We are looking for...

About the RoleWe are seeking a skilled Health and Safety Compliance Officer to join our team at JCDecaux Transport Hong Kong. As a critical member of our organization, you will be responsible for ensuring compliance with regulatory requirements and maintaining high standards of quality.Main ResponsibilitiesImplement and maintain effective Health and Safety...

Responsibilities:Conduct investigation on compliance and red flags, liaise and report suspicious case to Securities and Futures Commission (SFC), Joint Financial Intelligence Unit (JFIU) and other law enforcement units on reasonable grounds; Address response to enquiries and requests from regulators (e.g. SFC), securities exchange (e.g. HKEX), and other law...

Job OverviewWe are seeking a highly experienced Compliance Officer to join our team at CICC in Hong Kong. This role will be responsible for providing comprehensive compliance coverage to the company's Equities, FICC and Wealth Management business activities.Main ResponsibilitiesProvide expert advice on all aspects of compliance to the Equities, FICC and...

About Pure Hong KongWe are a leading financial institution in Hong Kong, committed to delivering exceptional services to our clients. Our team is dedicated to upholding the highest standards of integrity and compliance.Job Description**Compliance Specialist**Manage SFC licensing processes for employees, ensuring compliance with regulatory...

Key Responsibilities:Policy Development: Create and implement comprehensive compliance policies and procedures that align with industry standards.Regulatory Monitoring: Stay updated on key regulatory changes affecting the insurance industry and ensure seamless implementation.Project Leadership: Spearhead compliance-related projects to optimize processes and...