Regulatory Enforcement Specialist

About the RoleThis mid-senior level position involves supporting the execution of annual attestation and inspection programs, as well as targeted thematic reviews, to ensure compliance with regulatory requirements.The successful applicant will have a strong grasp of securities and futures regulations, exchange rules and enforcement practices.Key...

Job SummaryThe Enforcement Officer - Complaints Unit will be responsible for handling complaints and enquiries from members of the public. This involves investigating allegations of non-compliance with regulations and taking enforcement action where necessary. The ideal candidate will have a strong understanding of regulatory requirements and be able to...

Job OverviewBowen Partners is an executive search and talent development firm in Hong Kong, committed to excellence in identifying top talent within Banking & Financial Services across Asia Pacific.We are seeking a seasoned enforcement professional with strong internal audit or compliance background to join our client's team.The ideal candidate will play a...

Job RoleThe Compliance and Investigations Specialist will be responsible for ensuring that the Property Management Services Authority (PMSA) complies with regulatory requirements. This involves conducting investigations and gathering evidence for alleged disciplinary offences, as well as enforcing regulations to ensure compliance. The ideal candidate will...

At Harbridge Partners, we are seeking a highly skilled Financial Services Regulatory Expert to join our team.Job Overview:The ideal candidate will have a strong background in litigation and dispute resolution, with a minimum of 8+ years of experience in the financial services sector. They will be responsible for working closely with management and external...

We are seeking a highly skilled Regulatory Compliance Specialist to join our team at Ashford Benjamin. This exciting opportunity is for candidates with strong regulatory compliance backgrounds to take their career to the next level.The successful candidate will be responsible for providing compliance advisory to global markets business, reviewing new...

We are seeking a highly experienced Regulatory Compliance Specialist to join our team at Ashford Benjamin. In this role, you will be responsible for providing regulatory compliance advisory services to our APAC businesses.The ideal candidate will have around 3-12 years' experience in regulatory compliance covering fund business. A solid understanding of SFC...

Argyll Scott's client is seeking an Automating Regulatory Compliance Specialist to lead and manage critical projects focused on automating regulatory reporting processes in investment banking and wealth management.This role is crucial in ensuring compliance with CFTC, BAFT, and OTC regulations while driving efficiency through automation.The successful...

Key ResponsibilitiesThis Senior Regulatory Reporting position is responsible for position monitoring, preparation, and delivery of non-financial regulatory disclosures under relevant regulatory reporting laws across multiple regimes.Responsibilities include analyzing and resolving highly complex operations problems and initiatives requiring exceptional...

**Job Overview:**The Profile Group (HK) Ltd, a Wilson Company, is seeking an experienced Regulatory Compliance Specialist to join their small compliance team for a 12-month contract. The ideal candidate will possess at least 6-10 years of relevant experience in asset management, with a strong understanding of regulatory and investment compliance matters.Key...

About the Role: Allianz Global Investors is a leading global active asset manager seeking a highly skilled Regulatory Compliance Specialist to join our team. As a key member of our Investment Compliance team, you will be responsible for ensuring that all regulatory requirements are met in the AP offices.The successful candidate will have extensive experience...

About the Role:We are seeking a Financial Regulatory Specialist to join our team at Amethyst Partners. The successful candidate will have around 2-4 years of experience in AML/KYC or paralegal roles, with a Bachelor's degree and strong communication skills.Key responsibilities include managing client portfolios, providing compliance services, and working...

Accuray Asia Ltd is seeking a highly skilled Regulatory Affairs Specialist to support the successful market access of our medical devices in Asia Pacific.The ideal candidate will have a solid understanding of the regulatory landscape in Asia Pacific and be able to navigate the complex requirements for obtaining pre-market approvals.About the Role:Author and...

About UsOSL Group is a pioneering fintech company in Asia, driven by innovation and a passion for delivering exceptional digital asset solutions. Our commitment to excellence has earned us recognition as a trusted partner for institutional clients and professional investors.Job SummaryWe are seeking an experienced Regulatory Compliance Specialist to join our...

Job DescriptionWe are seeking a highly skilled Regulatory Affairs Specialist to support obtaining medical device pre-market regulatory approvals and ensure market access for our products in the Asia Pacific region.This role involves authoring regulatory submissions through third-party entities, staying vigilant of developing standards and regulations, and...

Job DescriptionWe are seeking a highly skilled Regulatory Affairs Specialist to support obtaining medical device pre-market regulatory approvals in the Asia Pacific region. This role will ensure market access for Accuray products and services in the area.The ideal candidate will author regulatory submissions through third-party entities and stay vigilant of...

Key ResponsibilitiesThe enforcement professional will be responsible for:Supporting the execution of annual attestation and inspection programsPreparing management and regulatory reports, including data analytics and presentation materialsPerforming UAT testing and contributing to the implementation of rule enforcement systemsServing as a liaison with...

At Ashford Benjamin Ltd, we are seeking a highly skilled Regulatory Compliance Specialist to join our global markets team.About the RoleThis is an exciting opportunity for a compliance expert to provide advisory services to our global markets business. The successful candidate will be responsible for ensuring that all activities comply with relevant laws and...

**Company Overview:** Ashford Benjamin Ltd is a leading financial services company dedicated to providing exceptional compliance solutions.**Job Description:We are seeking an experienced Markets Specialist to join our team in APAC. This role will be accountable for the Sales and Trading Compliance program, ensuring seamless execution of regulatory...

As a Financial Reporting Specialist at MUFG, you'll play a critical role in ensuring the accuracy and timeliness of our regulatory reporting.You'll work closely with our team to develop and maintain policies and procedures related to regulatory reporting processes.In addition, you'll support the testing, rollout, and post-implementation monitoring of new...