Advisory Compliance Officer

Ashford Benjamin is looking for a Compliance Advisory Professional to join our team. In this role, you will be responsible for providing regulatory compliance advisory to our APAC businesses. You will identify rules and regulation updates, establish effective compliance programs, implement compliance frameworks and procedures, and oversee general compliance...

Job DescriptionAshford Benjamin is a leading provider of regulatory compliance services to the financial industry. We are currently seeking a highly experienced Compliance Advisory Professional to join our team.Provide regulatory compliance advisory services to our APAC businessesIdentify rules and regulation updates, and establish effective compliance...

Key ResponsibilitiesAs a Regulatory Compliance specialist, you will play a key role in ensuring our Global Markets business remains compliant with regulatory requirements. Your main responsibilities will include:Providing expert advice on regulatory mattersReviewing new business proposals and initiativesMonitoring regulatory changes and updatesLiaising with...

Key RequirementsTo succeed in this Compliance Officer role, you will need:Minimum 5 years of experience in regulatory compliance or markets compliance advisoryStrong understanding of financial markets products (Equities/Fixed Income)Excellent analytical and problem-solving skillsAbility to communicate complex ideas effectivelyProven track record of driving...

Job DescriptionWe are instructed on multiple Global Markets Compliance Advisory/Regulatory Compliance roles with a global investment bank in Hong Kong. This is an exciting opportunity for candidates with strong regulatory compliance/markets compliance advisory backgrounds to join an international platform for their career development.Provide compliance...

Whether you're at the start of your career or looking to discover your next adventure, your story begins here. At Citi, you'll have the opportunity to expand your skills and make a difference at one of the world's most global banks. We're fully committed to supporting your growth and development from the start with extensive on-the-job training and exposure...

Projob21 Ltd. is a leading international private bank and asset management group with a global presence. We are currently seeking an experienced Regulatory Compliance Officer to join our team.Job OverviewWe are looking for a talented individual to conduct thorough due diligence, account opening approvals, Anti-Money Laundering (AML) investigations, and...

Key Responsibilities:Provide advisory support to management and business units on AML and CTF related queries and issuesIdentify areas for improvement in the AML process/documentation and coordinate process changesPerform CDD and EDD review and provide authorized concurrence on new and additional account opening casesReview policies and process manuals...

CHIEF COMPLIANCE OFFICER | Digital Banking CHIEF COMPLIANCE OFFICER | Digital Banking (AML focus) Senior executive position Our 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...

Job DescriptionAshford Benjamin is instructed by a global investment bank to recruit a seasoned Compliance Officer to lead their Equities division in Hong Kong. As part of the Global Markets team, you will work closely with cross-functional teams to ensure compliance with regulatory requirements.Responsibilities include:Providing compliance advisory services...

Da Cheng International Asset Management Co., Ltd. (hereinafter referred to as "DC International" or the "Company"), established on March 19, 2009 with a registered capital of HK$130 million, is a wholly-owned subsidiary of Dacheng Fund Management Co., Ltd. located in the Hong Kong Special Administrative Region of the People's Republic of China. As one of the...

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...

Regulatory Compliance (VP) – Global Markets We are instructed on multiple Global Markets Compliance Advisory/ Regulatory Compliance roles with a global investment bank in Hong Kong. This is an exciting opportunity for candidates with strong regulatory compliance/ markets compliance advisory backgrounds to join an international platform for their career...

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...

Job OverviewA senior role for a Compliance Advisory/ Regulatory Compliance professional with strong knowledge of financial markets products and regulatory requirements. We are seeking a candidate to join Ashford Benjamin's Global Markets team in Hong Kong. This is an exciting opportunity for those looking to develop their career in compliance advisory.This...

Responsibilities:Provide compliance advisory to global markets business including but not limited to equities, fixed income and ALM Assist stakeholders in regulatory development updates, projects and related incidents Review new business and product proposals and transactions Handle regulatory inquiries, audits, inspections and surveys Assist in compliance...

CLIENT BACKGROUND We are seeking a diligent and proactive Compliance Officer to join our team. The successful candidate will be responsible for overseeing general compliance activities, including staff dealing, SFC and head office reporting, KYC, and AML. This role requires a professional with a solid understanding of compliance regulations and familiarity...

About the RoleThe successful candidate will play a critical role in ensuring the effective implementation of AML policies and procedures across the organization. This includes providing guidance and support to management and business units on AML and CTF related matters.Key AccountabilitiesConduct regular reviews of the AML process to identify areas for...

We are currently seeking a highly skilled AML Policy and Advisory Lead to join our team in Hong Kong. As a senior member of the AML team, you will play a key role in developing and implementing AML policies and procedures across the APAC region.Key responsibilities include:Developing and implementing AML policies and proceduresProviding AML/KYC advisory and...

Job OverviewMadison Pearl is seeking a seasoned Chief Compliance Officer to lead our compliance department and enhance our financial crime compliance procedures. The ideal candidate will have a deep understanding of Anti-Money Laundering (AML) procedures and regulatory frameworks.About the RoleWe are looking for a senior executive with a strong leadership,...