Compliance Professional

Job Title: Law Policy and Compliance OfficerThe Professional Body Hong Kong, a premier regulatory organization, invites applications for a Law Policy and Compliance Officer position. In this key role, you will play a critical part in developing and implementing regulatory strategies to ensure the organization's compliance with relevant laws, regulations, and...

At Larson Maddox, we are seeking a seasoned Regulatory Compliance Professional to oversee our general compliance activities. The successful candidate will be responsible for ensuring adherence to regulatory requirements, including SFC reporting, KYC, and AML.The ideal candidate will have a solid understanding of compliance regulations and the ability to stay...

Pure Hong Kong is seeking a skilled Regulatory Compliance Professional to join our team.About the RoleThis role will be responsible for managing SFC licensing processes for employees, ensuring compliance with regulatory requirements. This includes overseeing Personal Account Dealing (PAD) activities to prevent conflicts of interest and insider trading,...

Job Description:The Bank of East Asia, Limited (BEA) seeks a highly skilled and experienced AML Compliance Professional to join our team in the Financial Crime Compliance Department. The ideal candidate will possess a strong background in anti-money laundering compliance and be able to exercise sound judgment in handling complex tasks.About the Role:We are...

B OCI-Prudential Asset Management Limited is seeking a Senior Compliance Professional to join its team. The successful candidate will be responsible for providing on-going support to the compliance team and ensuring that all aspects of AML compliance are met.The ideal candidate will have a minimum of 6 years of experience in the financial industry,...

About Ashford Benjamin LtdA leading investment bank and capital market, our company is committed to delivering high-quality services.Job Description: Compliance SpecialistWe are seeking a highly skilled Compliance Specialist to join our team.ResponsibilitiesCompliance Advisory: Provide expert advice on internal and transaction-related compliance matters to...

Job SummaryJC Executive Search is seeking a seasoned Compliance Manager to join our team. As a key member of our compliance department, you will be responsible for ensuring that our client's compliance programs are effective and up-to-date.Main Responsibilities:Managing and maintaining compliance programs.Conducting regular audits and reviews of...

About Dah Sing Financial GroupDah Sing Financial Group is a leading financial services group in Hong Kong, offering banking, insurance, and related services through its extensive network of over 70 branches across the region.We pride ourselves on our values of caring, teamwork, and progressiveness. We recognize that each individual is unique, with diverse...

Ashford Benjamin, a renowned recruitment agency, is seeking a skilled Compliance Specialist for their Hong Kong office. This role presents a chance for dedicated professionals to take on new challenges in the APAC region.The ideal candidate will have:At least 3 years of experience in compliance covering fund businessesA solid understanding of SFC type 1, 4,...

About the RoleThe Compliance Risk Management Specialist will play a critical role in ensuring the integrity of our business operations and maintaining a strong compliance culture within the organization. The successful candidate will have a deep understanding of AML regulations and will be able to develop and implement effective compliance strategies.Main...

Duties and ResponsibilitiesYou will be responsible for designing and testing automation processes for physical security systems, BMS, and IT automation from a management perspective.Collaborate with multiple teams across different disciplines to drive project schedules while working closely with other disciplines to ensure milestones and completion dates are...

Regulatory Counsel Lead Job SummaryWe are seeking an experienced Regulatory Counsel Lead to join our team at The Professional Body Hong Kong. As a key member of our regulatory affairs department, you will lead the development and implementation of regulatory strategies to ensure compliance with relevant laws, regulations, and standards.Key...

Company OverviewThe Professional Body Hong Kong, a leading regulatory organization, seeks an experienced professional to join its team as Senior Regulatory Affairs Specialist. In this role, you will be responsible for reviewing, revising, and establishing regulations and policies that align with the organization's goals and objectives.Job DescriptionDevelop...

Professional Body Hong Kong, Hong Kong SAR 3 days ago Be among the first 25 applicants Job Description: Review, revise, and establish regulations and policies. Address inquiries related to ethics, conduct, or practice management, providing appropriate responses as needed. Prepare, regularly review, and disseminate guidelines to ensure compliance with...

Job DescriptionCompany Overview: Bank Of China (Hong Kong) Limited is a leading financial institution committed to providing excellent banking services.Job Summary: We are seeking an experienced Compliance Manager to join our team, responsible for ensuring compliance with regulatory requirements and internal policies.Key Responsibilities: Formulate annual...

As an important member of their HK Compliance Team, you will report to the Head of Compliance HK and be responsible for providing compliance advice to the Global Investment Banking Business, compliance advisory for M&A, ECM, DCM, and IPO business, ongoing compliance training for front office staff, and handling regulators' (HKEx & SFC) on-site exams and...

At Bank of Singapore, we recognize the importance of maintaining robust Client Due Diligence (CDD) processes to mitigate risk and ensure compliance with regulatory requirements.About the PositionThis role is responsible for supporting the Client Onboarding & Lifecycle Management team in enhancing the quality of CDD write-ups and documentation for existing...

Key Responsibilities Client Delivery:Regulatory Compliance Advisory – Support clients on policies, procedures, compliance monitoring, and regulatory matters. Training & Development – Assist in creating training materials and delivering compliance training sessions. Regulatory Engagement – Help with licensing applications, regulatory communications, and...

Job Description: We are seeking a diligent and proactive Compliance talent to join our bank. The successful candidate will be responsible for ensuring that our operations comply with regulatory requirements and internal policies. This role requires a professional with a solid understanding of regulatory compliance and private banking business advisory. Key...

Key Aspects of the JobThis role offers a unique opportunity to contribute to the evolution of regulatory compliance within our organization, leveraging expertise in trade surveillance and analysis.Main ResponsibilitiesMonitor transactions to guarantee compliance with applicable regulations and exchange rules.Analyze trade surveillance alerts, conducting...