Chief Compliance Officer, Corporate Finance Operations

1 month ago


Hong Kong, Central and Western District, Hong Kong SAR China Global Executive Consultants Ltd. Full time

Global Executive Consultants Ltd. is seeking a highly skilled Compliance Manager to join our team in Hong Kong.

About the Role

This is an exciting opportunity to work with a leading investment bank and contribute to the development of their Corporate Finance Business compliance function. The successful candidate will provide expert guidance on regulatory requirements and ensure adherence to all relevant laws and regulations.

Responsibilities
  • Lead the development and implementation of compliance policies and procedures for the Corporate Finance Business, ensuring alignment with regional regulatory differences and Group policies.
  • Collaborate with cross-functional teams to identify and resolve compliance issues related to IPO, ECM, DCM, and M&A activities.
  • Monitor and enforce local and regional compliance procedures, policies, and best practices in accordance with all legal and regulatory requirements.
  • Liaise with local regulatory authorities, such as the SFC and other local financial authorities.
Requirements
  • University degree holder in a relevant field.
  • Minimum 5 years of experience in corporate finance control room compliance, preferably in IPO, ECM, DCM, and M&A from a reputable investment bank or financial institution.
  • Excellent knowledge of regulatory requirements and rules issued by the SFC, HKEX, etc.
  • Fluent command of English and Cantonese, with excellent written and verbal communication skills.

The estimated salary range for this role is approximately HK$35,000 - HK$55,000 per month, depending on qualifications and experience. If you are a motivated and detail-oriented professional looking to make a significant impact in a dynamic industry, please submit your application.



  • Hong Kong, Central and Western District, Hong Kong SAR China Global Executive Consultants Ltd. Full time

    We are seeking a seasoned Chief Compliance Officer to join our team at Global Executive Consultants Ltd. in Hong Kong.About the RoleAs a key member of our Corporate Finance division, you will be responsible for ensuring compliance with all relevant regulations and laws in the region. Your expertise will help us navigate complex regulatory landscapes and...


  • Hong Kong, Central and Western District, Hong Kong SAR China SUPER Corporate Consultancy Group Full time

    Job Title: Chief Compliance StrategistEstimated Salary: $100,000 - $150,000 per yearAbout UsSUPER Corporate Consultancy Group is a leading provider of compliance solutions to financial institutions and asset management companies. Our team of experts is dedicated to ensuring that our clients are in compliance with all relevant regulatory requirements.Job...


  • Hong Kong, Central and Western District, Hong Kong SAR China Classy Wheeler Limited Full time

    Job OverviewWe are seeking a highly skilled Chief IT Compliance Officer to join our team at Classy Wheeler Limited.The successful candidate will be responsible for conducting IT audits and technical consultancy assignments, participating in financial and operational audits, and developing Computer Assisted Auditing Techniques (CAATs) Programs.About the...


  • Hong Kong, Central and Western District, Hong Kong SAR China Larson Maddox Full time

    Larson Maddox is seeking a highly skilled Chief Compliance Officer to lead our compliance team.Salary: $175,000 - $225,000 per year.About the Role:We are looking for an experienced professional to develop, implement, and oversee compliance programs that align with regulatory requirements and internal policies.Key Responsibilities:Compliance Framework...


  • Hong Kong, Central and Western District, Hong Kong SAR China Interfill Group Full time

    About the Role:This is a highly challenging and rewarding opportunity to lead the operations team within our corporate banking division. As Head of Operations, you will be responsible for overseeing and driving the strategy for all operational activities, ensuring efficient and compliant processes that support our corporate clients.Key...


  • Hong Kong, Central and Western District, Hong Kong SAR China SUPER Corporate Consultancy Group Full time

    At SUPER Corporate Consultancy Group, we are seeking a highly skilled Chief Credit Strategist to join our team. As a key member of our credit management department, you will be responsible for designing and implementing effective credit mechanisms that support the growth of our business.Job Description:We are looking for an experienced credit professional...


  • Hong Kong, Central and Western District, Hong Kong SAR China HARBRIDGE PARTNERS Full time

    Job DescriptionAs a key member of our team, the Chief Compliance Officer - APAC will play a critical role in ensuring that our Hong Kong operations are fully compliant with all relevant laws and regulations.About the RoleWe are seeking a seasoned compliance professional with extensive experience in financial services regulation. The successful candidate will...


  • Hong Kong, Central and Western District, Hong Kong SAR China Citi Full time

    Citi, a leading global bank, is seeking an experienced professional to fill the role of Chief Financial Management Officer. Located in Kowloon, Hong Kong, this position offers an excellent opportunity to join a dynamic team and contribute to the firm's financial management.Company OverviewCiti is a global bank with a long history of innovation and commitment...


  • Hong Kong, Central and Western District, Hong Kong SAR China Haitong International Securities Group Limited Full time

    Job OverviewHaitong International Securities Group Limited is seeking an experienced Chief Financial Officer to lead its corporate finance services in the consumer sector.


  • Hong Kong, Central and Western District, Hong Kong SAR China Pure Hong Kong Full time

    **Job Overview**Pure Hong Kong is seeking a highly skilled Chief Compliance Officer to join our team. This role will be responsible for providing compliance advice to the Global Investment Banking Business and overseeing various compliance functions.**Key Responsibilities:**Provide compliance advice to the Global Investment Banking Business on matters such...


  • Hong Kong, Central and Western District, Hong Kong SAR China Hong Kong Exchanges and Clearing Limited Full time

    Job OverviewHong Kong Exchanges and Clearing Limited is seeking a highly skilled Chief Technology Infrastructure Officer to lead its Hosting Services team. The successful candidate will be responsible for delivering reliable, scalable, and secure hosting solutions that meet the needs of HKEX's customers and business objectives.About the RoleThe Chief...


  • Hong Kong, Central and Western District, Hong Kong SAR China Citi Full time

    About CitiCiti is a global bank with a long history of innovation and leadership in the financial industry. With operations in over 160 countries, we offer a wide range of financial products and services to individuals, corporations, and governments.At Citi, we are committed to supporting our employees in their career development and providing them with...


  • Hong Kong, Central and Western District, Hong Kong SAR China AIA International Limited. Full time

    About AIA International LimitedAIA International Limited is a leading insurance company that aims to help customers and the community live Healthier, Longer, Better Lives.Join Our Team!We are seeking a Chief Transformation Officer to lead our Operations Transformation team and drive digital transformation initiatives. As a key member of our team, you will...


  • Hong Kong, Central and Western District, Hong Kong SAR China JH Partners Asia Company Limited Full time

    About the RoleWe are seeking an experienced Chief Compliance Officer to lead our asset management compliance function. The successful candidate will be responsible for ensuring that our business practices align with regulatory requirements and industry standards.Key ResponsibilitiesEvaluate organizational policies and procedures to ensure alignment with...

  • Chief Legal Officer

    1 month ago


    Hong Kong, Central and Western District, Hong Kong SAR China Classy Wheeler Limited Full time

    Classy Wheeler Limited, an established company in satellite services, is seeking an experienced Chief Legal Officer to support their rapid growth. The ideal candidate will provide general counsel and support to the company, ensuring compliance with applicable laws and regulations.Key ResponsibilitiesPreparing contracts for internal review and approval,...


  • Hong Kong, Central and Western District, Hong Kong SAR China SUPER Corporate Consultancy Group Full time

    The SUPER Corporate Consultancy Group is seeking a seasoned professional to fill the role of Head of Corporate Finance Solutions. As a key member of our team, you will be responsible for developing and maintaining customer relationships with Small and Medium Enterprise (SME) clients.We are looking for an individual with a minimum 5 years' experience in audit...


  • Hong Kong, Central and Western District, Hong Kong SAR China Tbwa ChiatDay Inc Full time

    We are seeking a highly skilled Chief Compliance Officer to join our team at Tbwa Chiat/Day Inc, a leading web3 venture studio based in Hong Kong.Our company is a global team of researchers, engineers, designers, operators, and crypto veterans dedicated to building the next digital economy. We believe in the paradigm-shifting potential of crypto and provide...


  • Hong Kong, Central and Western District, Hong Kong SAR China Classy Wheeler Limited Full time

    About UsClassy Wheeler Limited is a prominent financial institution that provides comprehensive banking and financial services to individuals and corporations. We are committed to delivering exceptional customer experiences and maintaining the highest standards of security and compliance.Job OverviewEstimated Salary: HKD 800,000 - HKD 1,200,000 per annum.Job...


  • Hong Kong, Central and Western District, Hong Kong SAR China Citi Full time

    About CitiCiti is a global bank that empowers individuals to expand their skills and make a difference. We are committed to supporting growth and development through extensive on-the-job training and exposure to senior leaders.Our Global Legal Affairs and Compliance (GLAC) team provides legal, compliance, investigative, and security services to our firm. We...


  • Hong Kong, Central and Western District, Hong Kong SAR China Classy Wheeler Limited Full time

    Job OverviewWe are seeking a seasoned Chief Financial Officer to lead our financial operations in Hong Kong and Taiwan.About the RoleWe are looking for a highly experienced finance professional with a strong background in accounting, auditing, and financial management.The ideal candidate will have at least 10 years of experience in a managerial role within...