Compliance Director for Brokerage Operations

Pure Hong Kong seeks a Compliance Director for its Global Investment Banking Business.**Job Description**In this key role, you will report to the Head of Compliance HK and provide compliance advice to the Global Investment Banking Business. This includes advisory services for Mergers & Acquisitions (M&A), Equity Capital Markets (ECM), Debt Capital Markets...

AVP/ Associate Director, AML Compliance – Equities/ Securities Team Lead, Trade Surveillance & AML Monitoring Location: Hong Kong Main Duties and Responsibilities: Covering and manging the team for  AML/CTF, Trade Surveillance/ Monitoring  and FATCA/CRS Provide AML/CTF guidance and advisory to the senior management and to business and support units....

Company OverviewUnicorn Advisor (HK) Limited is a reputable insurance brokerage firm that requires an experienced leader to oversee its daily operations.

Company OverviewGreen Lake Executive Search Co. Limited is a leading executive search firm specializing in middle- and back-office operations talent.SalaryWe offer a competitive salary package to attract top talent in the industry.Job DescriptionHead of OperationsAt Green Lake Executive Search Co. Limited, we are seeking an experienced Head of Operations to...

Job Summary:The Director of IT Compliance at FortisHill Consulting is responsible for ensuring the organization's IT systems comply with regulatory standards and laws. The successful candidate will develop and implement effective IT compliance strategies, collaborate with cross-functional teams, and stay updated on industry trends and regulatory changes.Key...

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...

Responsibilities:Act as HK Compliance head and oversee compliance activities in HK. Contribute to regional compliance oversight in Australia and Singapore. Work as a senior management and manage a wide range of regulatory matters by providing professional compliance advice to the business function and top management on new business initiatives and...

Responsibilities:Oversee and integrate middle- and back-office operational systems across business lines including investment banking, asset and wealth management, and securities brokerage. Optimize digital operations infrastructure to enhance compliance and operational efficiency for cross-border business activities. Design and implement risk management...

We are seeking a highly experienced Compliance Director to join our team at BOCI-Prudential Asset Management Limited. This is an exciting opportunity for a seasoned compliance professional to provide leadership and guidance on all aspects of AML compliance.The successful candidate will have a minimum of 6 years of experience in the financial industry,...

Job Summary:We are seeking a seasoned Compliance Director to lead our Compliance Risk Management team in Asia Pacific. The successful candidate will be responsible for developing and implementing compliance risk management strategies and policies across the region.Key Responsibilities:Develop and implement compliance risk management strategies and...

Bowen Partners is an executive search and talent development firm in Hong Kong, seeking a highly experienced professional to join their team as the Senior Settlement Operations Director.In this role, you will oversee and manage daily trade booking and settlement operations for various financial products, ensuring timely and accurate processing.Key...

PASLA requires a highly skilled Administrative Director for Business Operations to oversee its day-to-day activities. This individual will have at least 5-8 years of experience in senior administrative roles, preferably in the financial industry or association settings.Main Responsibilities:Operational Oversight:Ensure the smooth operation of all...

Bowen Partners is an executive search and talent development firm in Hong Kong. We are true experts at identifying talent within Banking & Financial Services across Asia Pacific primarily in Audit, Compliance, Risk, Finance, Strategy & Transformation.We are currently seeking a Director, Settlement to join our team. The successful candidate will be...

Senior Operations Director (86236) Lai Chi Kok, Hong KongSenior Operations DirectorThis leading apparel company with global retail and production operations is now actively seeking a Senior Operations Director to join their growing team. The Senior Operations Director will lead multiple business lines driving the original design manufacturing business to...

Job Overview:Pan Lloyds is a dynamic company that values excellence in all aspects of our business. We are currently seeking a highly skilled Business Operations Director to lead our administration team and drive business growth through effective operations management.About the Role:Lead a team to provide administrative services, including procurement,...

Position OverviewThe company is seeking an experienced Operational Risk Management professional to establish the Operational Risk framework for the Asia region based in Hong Kong. This is an exciting opportunity for a talented individual to make a significant contribution to the company's risk management efforts.Key Accountabilities:Develop and maintain the...

Our Client is an International Financial Institution with an established and growing presence in Asia. The Group is currently expanding its Global Markets and Securities / Brokerage business activities in Asia and is seeking an experienced Operational Risk Management professional to establish the Operational Risk framework for the Asia region, based in Hong...

Senior IT Auditor WantedOur client, PrimePeak Group, is seeking a skilled Senior Manager / Director to oversee Tech Risk / Cyber Security functions. The ideal candidate will have expertise in IT governance, cybersecurity frameworks, and digital transformation risks.Responsibilities Include:Leading risk-based assessments to ensure compliance with various...

Headsearch21 Consultancy Limited is seeking a Director of IT Operations to join our team. As a key member of our organization, you will play a critical role in ensuring the stability, scalability, and security of our IT systems, including retail store technology, data analytics, help desk support, and online shopping platforms.Responsibilities:The successful...

Job OpportunityWe are seeking a highly skilled HR Operations Director to join our Regional HR team at ConnectedGroup. The ideal candidate will possess strong knowledge in C&B rewards and experience in managing large data sets and HR analysis.About the RoleAs an HR Operations Director, you will be responsible for the overall HR operations, including C&B,...