Compliance Officer

Compliance Officer (Secondary Markets Compliance)Reporting to the Head of Secondary Markets Compliance, the right incumbent will be responsible for providing compliance coverage to the CICC group of companies (the "Firm") for its Equities, FICC and Wealth Management business activities conducted from Hong Kong, with a focus on the sales and trading business...

APG Asset Management is a leading global, long-term investor managing over 521 billion euros in assets. They focus on achieving sustainable investment returns for their customers to ensure good and affordable pensions for current and future generations.Role DescriptionThis is a full-time on-site Senior Compliance Officer role located in Hong Kong SAR at APG...

CHIEF COMPLIANCE OFFICER | Digital BankingCHIEF COMPLIANCE OFFICER | Digital Banking (AML focus)Senior executive positionOur client is one of Hong Kong's licensed digital banking groups with an established local business spanning both retail and corporate clients. As an industry-leading banking institution, their governance functions ensure compliance with...

Senior Compliance Officer (Business Compliance)Provide compliance advice to business units and associated parties, including comments on new business initiativeFormulate and implement policies and procedures to ensure compliance with the regulationsMonitor and assess the effectiveness of the compliance program and make recommendations for improvements, such...

Senior Compliance Officer (Business Compliance)Provide compliance advice to business units and associated parties, including comments on new business initiatives. Formulate and implement policies and procedures to ensure compliance with the regulations. Monitor and assess the effectiveness of the compliance program and make recommendations for improvements,...

The Senior Compliance Officer will be responsible for managing all licensing-related matters with the SFC, IA and MPFA. The role will conduct regular compliance monitoring reviews and manage and implement regulatory requirements and best practices set out by the regulators. The Senior Compliance Officer will also be required to work closely with the Business...

Report to Legal & Compliance Manager and Head of Legal & ComplianceProvide compliance advice and solution to management and departmentsDevelop, draft and review a broad range of business contracts, agreements, announcement, notice, correspondence, account opening documents, marketing materials, board resolutions, shareholders resolutions and other...

We respect the privacy of candidates for employment. The Privacy Notices set forth how we will use the information we obtain when you apply for a position through this career site.If you do not consent to the terms of your country's respective Privacy Notice, please do not submit information to us .Senior Compliance Analyst/Compliance OfficerApply locations...

A key member of the Acts Consulting Co. team responsible for ensuring the company adheres to relevant legal and regulatory requirements.Key Responsibilities:Develop, implement, and maintain comprehensive compliance policies and procedures to ensure adherence to regulations.Prepare and submit internal and external compliance reports in a timely manner,...

Our MissionWe are a forward-thinking law firm committed to delivering exceptional results for our clients. Our team is passionate about creating a work environment that fosters collaboration, innovation, and growth.As a Senior Compliance Officer at Stephenson Harwood LLP, you will play a critical role in enabling high performance and progression across the...

We are looking for a Banking Technology Compliance Officer to join our team in Hong Kong. As a key member of our organization, you will be responsible for ensuring compliance with local and global regulatory standards, including HKMA guidelines and the Cyber Resilience Assessment Framework (C-RAF).Key Responsibilities:Compliance and Governance: Develop,...

About AvatureWe are a global technology company serving millions of customers every day in 180 markets, focused on delivering Smarter Technology for All.Job SummaryWe are looking for a dynamic professional to play a key role in designing, administering, and supporting our global ethics and compliance program. As a subject matter expert, you will provide...

PingPong Payments is a forward-thinking company committed to innovation and excellence in the payment and e-commerce industries.We believe in empowering businesses to reach their full potential through our comprehensive cross-border services.Key Responsibilities:Maintain an expert-level understanding of PingPong's business model, focusing on its alignment...

In this compliance officer role at OCBC, you will serve as a Subject Matter Expert on Anti-Money Laundering (AML) and Counter Financing of Terrorism (CFT). Your responsibilities will include providing advisory support to stakeholders and assisting in reviewing procedures to ensure compliance with regulatory requirements.Key ResponsibilitiesAct as a Subject...

Responsibilities:Prepare audit materials and documents for clientsMonitor trading activity for insider dealingCarry out day-to-day surveillance operationsAnalyze, maintain and improve rule settingDevelop policies, procedures and SOP enhancementsPerform Compliance related station auditsAssist in tax reporting (e.g. FATCA/CRS)Handle data entry and control...

At Amethyst Partners, we are seeking a highly skilled Compliance Officer to join our team in Hong Kong. As a key member of our private equity fund administration services team, you will play a crucial role in ensuring the highest standards of compliance and regulatory adherence.About the RoleThis is an exciting opportunity for a seasoned AML/Paralegal...

Responsibilities: Prepare audit materials and documents for clients Monitor trading activity for insider dealing Carry out day-to-day surveillance operations Analyze, maintain and improve rule setting Develop policies, procedures and SOP enhancements Perform Compliance related station audits Assist in tax reporting (e.g. FATCA/CRS)Handle data entry and...

Your RoleWe are seeking a skilled professional to join our Client Onboarding & Lifecycle Management team. The successful candidate will support the BOS Front Office by improving the standards of customer due diligence write-up and documentation for existing clients on a project basis.Key Responsibilities:Analyse and identify gaps and risks in client KYC and...

Chief Compliance OfficerMadison Pearl is seeking an experienced Chief Compliance Officer to lead its compliance department and enhance financial crime compliance procedures.About the RoleYou will be responsible for formulating and implementing Madison Pearl's overall compliance strategy, supporting its long-term goals and growth objectives. As a member of...

About the RoleThis role is focused on providing compliance coverage to CICC Group of Companies for its Equities, FICC and Wealth Management business activities conducted from Hong Kong.You will be responsible for ensuring that all business activities are conducted in accordance with relevant laws and regulations, and that our policies and procedures are...