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...

A global financial services firm is looking for a Compliance Officer for their asset management business   Roles and Responsibilities- • Advising the Asset Management business on regulatory compliance, risk identification, mitigation, and all regulatory matters • Ensuring compliance and operational risk controls are well in place and that...

CHIEF COMPLIANCE OFFICER | Digital Banking CHIEF COMPLIANCE OFFICER | Digital Banking (AML focus) Senior executive position Our 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...

About HKMC Annuity LimitedWe are a reputable financial institution seeking a dedicated Chief Compliance Officer to join our team.

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...

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...

Job ResponsibilitiesMaintain accurate and up-to-date financial records, including ledgers, invoices, and receipts.Reconcile bank statements and company accounts regularly to ensure accuracy and compliance.Prepare comprehensive monthly and annual financial reports to support business decision-making.Ensure compliance with all relevant Hong Kong tax...

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 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...

We are 4Alpha Group, a cutting-edge Web3 company at the forefront of blockchain technology, decentralized finance (DeFi), and digital assets.Our mission is to build a more transparent, secure, and inclusive financial ecosystem.This role requires a deep understanding of blockchain, cryptocurrencies, and decentralized systems, as well as a strong grasp of...

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...

Job OverviewThe Business Compliance Officer - Legal is responsible for providing independent audit assurance services to the Board and Executive Management at DBS Bank.About the PositionProvide audit team members with proper guidance and coaching supervision during audit engagements.Manage key relationships with middle and senior management for the audit...