Compliance Officer

5 days ago

Hong Kong, Central and Western District, Hong Kong SAR China Allspring Global Investments Full time
Job Title: Compliance Officer - Hong Kong and Singapore

At Allspring Global Investments, we are seeking a highly skilled Compliance Officer to join our team in Hong Kong and Singapore. As a Compliance Officer, you will play a critical role in ensuring that our business operations are in compliance with relevant laws, regulations, and internal policies.

Key Responsibilities:
  • Support the development and implementation of compliance programs in Hong Kong and Singapore.
  • Prepare and coordinate regular reporting submissions, filings, and ad hoc surveys/questionnaires to regulators in Hong Kong and Singapore.
  • Perform the role of Compliance Officer for Allspring Singapore and Hong Kong legal entities.
  • Support the Head of APAC Legal & Compliance with his obligations and deliverables as the primary point of contact and liaison for the MAS and SFC.
  • Advise colleagues on compliance matters relevant to the Allspring business conducted in Hong Kong and Singapore.
Requirements:
  • Minimum 3 years of experience in compliance or related disciplines in asset management.
  • Prior experience with preparing regulatory reporting and submission via MASNET (Singapore) and WINGS (Hong Kong).
  • Prior experience with developing policy and procedures associated with MAS and / or SFC rules, regulations, and compliance-related requirements.
  • Good experience of building and maintaining effective working relationships with other Allspring functional colleagues covering Singapore / Hong Kong / APAC.
Preferred Qualifications:
  • Experience with key regulatory filing documentation and the process of coordinating input to, organizing internal approvals of, and submitting these.
  • Excellent technical, analytical, and communication skills.
  • Dedicated, enthusiastic, driven, and performance-oriented; possesses a strong work ethic and results orientation.

  • Compliance Officer

    4 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China EFG International Full time

    EFG International seeks a seasoned Compliance Officer to join its team. The ideal candidate will possess a strong background in risk management and a proven track record of ensuring compliance with regulatory requirements. Key responsibilities include providing advisory support to Client Relationship Officers, conducting customer due diligence, and preparing...

  • Compliance Officer

    2 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China Worthington Legal Full time

    Compliance Lawyer Opportunity at Worthington LegalA top UK law firm, Worthington Legal, is seeking a skilled Compliance Lawyer to join their Hong Kong office.The successful candidate will be responsible for developing and maintaining the firm's policies and procedures on core compliance issues, including anti-money laundering, sanctions, conflicts, and...

  • Compliance Officer

    7 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China HARBRIDGE PARTNERS Full time

    Compliance ManagerHARBRIDGE PARTNERS is seeking a highly skilled Compliance Manager to join our team.Key Responsibilities:Develop and implement compliance-related rules, procedures, and business processes to ensure regulatory adherence.Conduct thorough compliance reviews of internal policies, major decisions, new products, and legal documents to identify...

  • Compliance Officer

    1 month ago

    Hong Kong, Central and Western District, Hong Kong SAR China Mizuho Bank, Ltd Full time

    About the RoleMizuho Bank, Ltd. is seeking a highly skilled Compliance Officer to join our team in Hong Kong. As a key member of our Legal and Compliance Section, you will play a critical role in ensuring the bank's compliance with relevant laws and regulations.Key ResponsibilitiesAssist in managing the General Compliance functions, including planning,...

  • Compliance Officer

    3 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China HARBRIDGE PARTNERS Full time

    Compliance ManagerHARBRIDGE PARTNERS is seeking a highly skilled Compliance Manager to join our team.Key Responsibilities:Develop and implement compliance-related rules, procedures, and business processes to ensure regulatory adherence.Conduct thorough compliance reviews of internal policies, major decisions, new products, and legal documents to identify...

  • Compliance Officer

    4 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China Bank Of China (Hong Kong) Limited Full time

    Bank Of China (Hong Kong) Limited is seeking a Compliance Manager to join our team. The successful candidate will be responsible for providing advisory services to business units regarding regulatory compliance issues. Key responsibilities include participating in regulatory compliance-related projects, reviewing policies and procedures, and conducting...

  • Compliance Officer

    3 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China Larson Maddox Full time

    Compliance Officer - Private BankingLarson Maddox is seeking an experienced Compliance Officer to join our Private Banking team. As a key member of our Compliance team, you will be responsible for ensuring the highest standards of compliance with all relevant regulations and internal policies.Key Responsibilities:Conduct comprehensive due diligence on...

  • Compliance Officer

    7 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China Larson Maddox Full time

    Compliance Officer - Private BankingLarson Maddox is seeking a highly skilled Compliance Officer to join our Private Banking team. As a key member of our Compliance team, you will be responsible for conducting comprehensive due diligence on high-net-worth clients, ensuring compliance with all relevant regulations and internal policies.Key...

  • Compliance Officer

    3 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China Gough Recruitment Full time

    {"title": "Compliance Officer/Manager", "description": "Main Responsibilities:We are seeking a highly skilled Compliance Officer/Manager to join our team at Gough Recruitment. The successful candidate will be responsible for ensuring that our clients' businesses comply with all relevant laws and regulations.Monitor daily trading activities and transactions...

  • Compliance Officer

    1 week ago

    Hong Kong, Central and Western District, Hong Kong SAR China Worthington Legal Full time

    Compliance Lawyer Opportunity at Worthington LegalA leading UK law firm is seeking a skilled Compliance Lawyer to join their Hong Kong office.The successful candidate will be responsible for developing and maintaining the firm's policies and procedures on core compliance issues, including anti-money laundering, sanctions, conflicts, and...

  • Compliance Officer

    5 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China Worthington Legal Full time

    Compliance Lawyer Opportunity at Worthington LegalA leading UK law firm is seeking a skilled Compliance Lawyer to join their Hong Kong office.The successful candidate will be responsible for developing and maintaining the firm's policies and procedures on core compliance issues, including anti-money laundering, sanctions, conflicts, and...

  • Compliance Officer

    3 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China Worthington Legal Full time

    {"h1":"Compliance Lawyer Role at Worthington Legal","p":"Worthington Legal is seeking a Compliance Lawyer to join their Hong Kong office. As a key member of the team, you will be responsible for developing and maintaining the firm\u2019s policies and procedures on core compliance issues such as anti-money laundering, sanctions, conflicts, and...

  • Compliance Officer

    2 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China Worthington Legal Full time

    Compliance Lawyer Opportunity at Worthington LegalA leading UK law firm is seeking a skilled Compliance Lawyer to join their Hong Kong office.The successful candidate will be responsible for developing and maintaining the firm's policies and procedures on core compliance issues, including anti-money laundering, sanctions, conflicts, and confidentiality.Key...

  • Compliance Officer

    7 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China Worthington Legal Full time

    Compliance Lawyer Opportunity at Worthington LegalA leading UK law firm is seeking a skilled Compliance Lawyer to join their Hong Kong office.The successful candidate will be responsible for developing and maintaining the firm's policies and procedures on core compliance issues, including anti-money laundering, sanctions, conflicts, and...

  • Compliance Officer

    3 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China Bank Of China (Hong Kong) Limited Full time

    Job SummaryWe are seeking a highly skilled Compliance Officer to join our team at Bank Of China (Hong Kong) Limited. As a key member of our compliance team, you will be responsible for ensuring that our business operations are in compliance with relevant government regulations and the Bank's guidelines and policies.Key ResponsibilitiesReview customer...

  • Compliance Officer

    2 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China Allspring Global Investments Full time

    About the RoleWe are seeking a highly skilled Compliance Officer to join our team in Hong Kong and Singapore. As a key member of our Compliance team, you will play a critical role in ensuring that our business operations align with applicable laws, regulatory rules, and regulations.Key ResponsibilitiesSupport the development and implementation of our...

  • Compliance Officer

    3 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China Bank Of China (Hong Kong) Limited Full time

    Job DescriptionWe are seeking a highly skilled Compliance Manager to join our team at Bank Of China (Hong Kong) Limited. As a key member of our compliance team, you will be responsible for providing advisory services to business units regarding regulatory compliance issues.Key ResponsibilitiesProvide advisory services to business units on regulatory...

  • Compliance Officer

    3 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China Worthington Legal Full time

    {"h1":"Compliance Lawyer Role at Worthington Legal","p":"Worthington Legal is seeking a Compliance Lawyer to join their Hong Kong office. As a key member of the team, you will be responsible for developing and maintaining the firm\u2019s policies and procedures on core compliance issues such as anti-money laundering, sanctions, conflicts, and...

  • Compliance Officer

    4 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China Dah Sing Financial Group Full time

    About Dah Sing Financial GroupWe are a leading financial services group in Hong Kong, offering a wide range of services through our extensive network of branches. Our core values are built on caring, teamwork, and progressiveness, creating a unique work environment where you can thrive.Job Purpose:We are seeking a highly skilled Compliance Officer to join...

  • Compliance Officer

    3 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China Bank Of China (Hong Kong) Limited Full time

    Job DescriptionWe are seeking a highly skilled Compliance Manager to join our team at Bank Of China (Hong Kong) Limited. As a key member of our compliance team, you will play a critical role in ensuring that our business operations are in line with relevant laws and regulations.Key ResponsibilitiesProvide advisory services to business units on regulatory...