Compliance Surveillance Leader

About the RoleWe are seeking an experienced Compliance Surveillance Expert to lead our efforts in the APAC region. The successful candidate will have a thorough understanding of financial markets, conduct risk, trading data, and data governance, supported by previous experience managing teams in a multicultural context.This is an exciting opportunity to join...

Job Overview:We are seeking a seasoned professional to lead our capital markets compliance team in the Asia-Pacific region. As Regional Head of Capital Markets Regulatory Surveillance, you will be responsible for defining and implementing a compliance surveillance and control setup that aligns with Group norms and Compliance global strategy.The role involves...

Job DescriptionThe Role of the Regional Head of Capital Markets Regulatory Surveillance is a critical position that requires a seasoned professional with a thorough understanding of financial markets, conduct risk, trading data, and data governance. This role oversees a team of 20+ individuals composed of ~10 HC onshore in Hong Kong, 4 in Japan, and 9 HC...

Responsibilities Overview: The role will provide the successful candidate with a unique opportunity to apprehend the various businesses of a top-tier investment bank and will be evolving at the forefront of regulatory developments. The position will involve constant interaction with senior management, business lines, and various compliance teams. It is...

Amber Group is a leading digital asset company that provides crypto financial services to institutional and high-net-worth investors globally. We are seeking a skilled Market Surveillance Analyst to join our team and conduct transaction monitoring and market surveillance activities using specialized software systems and established processes.The ideal...

Job Description:We are looking for an experienced leader to oversee our capital markets compliance team in the Asia-Pacific region. As Head of Capital Markets Compliance Asia-Pacific, you will be responsible for managing a team of 20+ individuals and overseeing various business lines and compliance teams.The role involves designing and implementing effective...

About the JobWe are seeking a highly skilled Senior Regulatory Surveillance Manager to lead our Capital Markets Compliance team in the Asia-Pacific region.This individual will be responsible for defining and implementing a compliance surveillance and control setup, adapting it in line with Group norms and Compliance global strategy, and in respect of local...

Key ResponsibilitiesConduct transaction monitoring and market surveillance activities utilizing specialized software systems and established processes to detect and investigate potential instances of financial crimes, including but not limited to money laundering, terrorist financing, and market manipulation and abuse.Investigate and escalate transaction...

Company Overview: Hong Kong Exchanges and Clearing Limited (HKEX) is the primary exchange, clearing house, and registry of Hong Kong. We are committed to providing a fair, orderly, and efficient market for trading securities and derivatives. About the Role: The Market Surveillance and Monitoring Department plays a critical role in maintaining the integrity...

Key Responsiblities:Review daily and monthly alerts related to post-transaction monitoring and trade surveillance. Investigate transactions that may raise suspicions and take necessary follow-up actions to ensure adherence to internal policies and regulatory requirements. Collaborate with the AML team leader to analyze suspicious transaction reports and...

Job Description:Societe Generale, a leading global financial institution, is seeking an experienced Financial Markets Regulatory Expert to lead its Capital Markets Surveillance team in the Asia-Pacific region. This is a unique opportunity for a seasoned professional to evolve at the forefront of regulatory developments and drive change within a top-tier...

Job DescriptionThe Head of Regulatory Oversight in Asia will be responsible for defining and implementing a compliance surveillance and control setup on the perimeter under his responsibility and adapting it in line with Group norms and Compliance global strategy, and in respect of local regulations as well as global standards. The role will involve constant...

DBS Bank's Group Legal, Compliance & Secretariat is responsible for ensuring the bank's interests are protected by zealously guarding and enhancing its reputation and capital. This team works to maintain a good standing with all regulators, customers, and business partners.The Job Objective of this role is to effectively support the implementation of...

Responsibilities:Conduct investigation on compliance and red flags, liaise and report suspicious case to Securities and Futures Commission (SFC), Joint Financial Intelligence Unit (JFIU) and other law enforcement units on reasonable grounds; Address response to enquiries and requests from regulators (e.g. SFC), securities exchange (e.g. HKEX), and other law...

Tachyon Talent Solutions Limited is a leading provider of specialized talent solutions. We are currently seeking a skilled Risk and Compliance Expert to join our team.Job DescriptionThe successful candidate will be responsible for reviewing daily and monthly alerts related to post-transaction monitoring and trade surveillance. They will investigate...

Role SummaryThis is an exciting opportunity to join Amber Group's Transaction Monitoring and Market Surveillance team as a skilled professional. You will be responsible for utilizing specialized software systems and established processes to detect and investigate potential instances of financial crimes, including money laundering, terrorist financing, and...

Amber Group, a global leader in digital asset services, seeks a skilled Transaction Monitoring Specialist to join its team. This role involves conducting transaction monitoring and market surveillance activities using specialized software systems and established processes.The ideal candidate will have a comprehensive understanding of regulatory compliance...

Business Function: Group Legal, Compliance & Secretariat ensures that the bank's interests are protected by zealously guarding and enhancing its reputation and capital. We also work to maintain a good standing with all our regulators, customers, and business partners. Because we believe that at the heart of business banking is to uphold the values of trust...

Key ResponsibilitiesDevelop and implement comprehensive compliance risk management plans to ensure adherence to regulatory requirements and industry standards.Collaborate with regional and global teams to identify and assess potential risks, and develop strategies to mitigate them.Conduct regular audits and reviews to ensure the effectiveness of compliance...

**About the Role:**Korea Development Bank Hong Kong Branch is seeking an experienced Compliance Expert Leader to join our team. As a key member of our AML & Compliance function, you will play a critical role in ensuring the bank's compliance with regulatory requirements.Responsibilities:Manage a small team responsible for the bank's Anti-Money Laundering...