Equities Compliance Expert

About This RoleThis is an exciting opportunity to join a leading investment bank and contribute to the development of their equities trading compliance function.Key Accountabilities:Provide expert guidance on compliance matters related to equities trading.Develop and implement compliance strategies and initiatives.Conduct regular reviews of equities advisory...

About the RoleThis is an entry-level position that offers a unique opportunity to grow and develop your skills in a dynamic and innovative company. As a Client Services Associate, you will be part of our Public Equities & Credit team and will be responsible for building relationships with our clients and industry experts.Key responsibilities...

Legal and Compliance Manager RoleThis is a key position within our client's private equity firm, responsible for overseeing regulatory compliance and fund management. The successful candidate will be expected to manage legal and compliance aspects, focusing on regulatory adherence and fund operations. This includes developing and enforcing compliance...

The CICC Group of Companies is seeking a highly experienced Compliance Officer to join its team in Hong Kong. As a key member of the compliance team, you will be responsible for providing expert guidance and advice on compliance-related matters.Main Responsibilities:Providing regular compliance risk and controls assessments.Conducting reviews of new business...

Investment Banking Expert - Asian EquitiesThe Millennium is looking for an experienced Investment Banking Expert to join its Portfolio Finance team in Hong Kong. In this role, you will work closely with Portfolio Managers to identify opportunities and mitigate risks related to Asian Equities.You will be responsible for developing and maintaining strong...

Job DescriptionWe are seeking a highly experienced Financial Crime and Compliance Subject Matter Expert (SME) to join our team as a Financial Crime and Compliance Expert.The ideal candidate will have extensive experience in implementing and optimizing sanctions and screening Anti-Money Laundering (AML) products, with a strong understanding of global...

CICC seeks a seasoned Compliance Officer to join its team in Hong Kong. This is an exciting opportunity to work in a dynamic environment and contribute to the firm's success by providing high-quality compliance advice and support.Main Responsibilities:Collaborate with the Equities, FICC and Wealth Management departments to identify and mitigate potential...

The SOLANA FOUNDATION is a rapidly growing organization that requires a skilled Compliance and Financial Expert to join our team. As a key member of our finance team, you will be responsible for ensuring compliance with financial regulations and standards, as well as providing expert advice on financial planning and analysis.We are a dynamic and innovative...

Job DescriptionWe are seeking a highly skilled Regulatory Compliance Expert to join our team at Danos Group. This role is an exciting opportunity for a seasoned professional to drive regulatory compliance initiatives across our financial services operations.Key Responsibilities:Regulatory Advisory: Provide expert guidance on policies, procedures, and...

About the RoleWe are looking for an experienced Compliance Head to oversee regulatory affairs in the Asia Pacific region. As a critical member of our compliance team, you will be responsible for managing regulatory risks, providing expert guidance on market regulations, and developing effective compliance strategies. Your leadership skills and ability to...

As an Equity Asset Management Expert, you will be responsible for supporting the development of our Asia Equity strategies, preparing and presenting materials for product specialists and portfolio managers at client events, and participating in regional product specialist team activities related to product campaigns motivated by the AllianzGI distribution...

Compliance and Risk Management ExpertWe are seeking a highly experienced Compliance and Risk Management Expert to join our team. In this role, you will be responsible for developing and implementing compliance policies and procedures to ensure the company remains compliant with regulatory requirements. Your key responsibilities will include:Developing and...

Job DescriptionWe are seeking a highly skilled and experienced professional to join our team as an Insurance Compliance Expert. The successful candidate will be responsible for managing the Financial Crime Compliance (FCC) team, reporting directly to the Head of Legal and Compliance Department. This role requires a strong understanding of AML/FATCA/CRS...

Company OverviewAt Prudential Hong Kong Limited, we are committed to creating a culture of diversity and inclusion where our employees can grow and thrive. Our purpose is to be partners for every life and protectors for every future.We believe in fostering effective relationships with regulatory bodies to maintain trust, respect, and understanding. This role...

A leading role at Ashford Benjamin Ltd, the Compliance Advisor oversees compliance advisory to global markets business including but not limited to equities, fixed income and Asset Liability Management (ALM). Key responsibilities include assisting stakeholders in regulatory development updates, projects and related incidents. The ideal candidate will have...

Compliance Role OverviewAt ConnectedGroup, we are committed to excellence in compliance initiatives. We seek a seasoned Risk and Compliance Expert to join our team and contribute to our mission of delivering exceptional service to our clients.Key ResponsibilitiesThe Risk and Compliance Expert will be responsible for leading compliance-related projects to...

Job DescriptionFutu Holdings Limited seeks a highly skilled Senior Compliance Officer to join its team. This role involves providing expert advice on regulatory compliance, formulating and implementing policies, and monitoring the effectiveness of the compliance program.Key ResponsibilitiesOffer guidance on business initiatives to ensure adherence to...

Social Compliance and Sustainability LeaderConnectedGroup is seeking a Social Compliance and Sustainability Leader with expertise in EU market hardgoods.About the Position:Design and deliver training programs for factories to ensure they understand the ethics of social compliance.Manage third-party audit firms and review their reports.Conduct independent...

Fintech Compliance ExpertWe are looking for a skilled Fintech Compliance Expert to join our team at WSPN. The ideal candidate will have a deep understanding of global regulatory compliance issues in the fintech sector.You will be responsible for ensuring that our products and services meet relevant regulatory requirements. This involves working closely with...

Legal and Compliance Manager - Private Equity - 50-60K This range is provided by Larson Maddox. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more. Base pay range $600,000.00/yr - $720,000.00/yr Company Overview: Our client, a leading Hong Kong-based private equity firm, is seeking a Legal and Compliance...