Compliance jobs

• Hong Kong
• HK$600000 - HK$720000 per annum
• Posted about 11 hours ago

CLIENT BACKGROUND Our client is a Regional Investment Bank. We are seeking a Vice President of Equities Compliance to oversee our compliance program related to cash equities and derivatives. The ideal candidate will have at least 5 years of experience in compliance within the financial services s...

• Hong Kong
• Up to HK$600000 per annum
• Posted 1 day ago

CLIENT BACKGROUND Join a leading investment bank in Hong Kong, where we are committed to excellence in financial services. Our dynamic team is dedicated to ensuring compliance and operational integrity while supporting our clients' diverse needs. JOB RESPONSIBILITY Monitor and manage communicatio...

• Hong Kong
• HK$420000 - HK$780000 per annum
• Posted 2 days ago

Key Responsibilities Handle SFC applications, regulatory reports/ filings and other licensing matters Conduct reviews on SFC-authorised funds sales and marketing materials Handle investment compliance and trade surveillance to SFC-authorised funds, private funds and other mandates Perform coordin...

• Hong Kong
• HK$840000 - HK$960000 per annum
• Posted 9 days ago

CLIENT BACKGROUND Our client is a Regional Investment Bank. We are seeking a Compliance talent to join our dynamic compliance team.We are dedicated to providing our clients with innovative investment solutions while maintaining the highest standards of compliance and governance. As we continue to...

• Hong Kong
• HK$600000 - HK$780000 per annum
• Posted 9 days ago

CLIENT BACKGROUND Our client is a leading Private Bank. We are seeking experienced KYC Talent to join the Onboarding team. In this role, you will be responsible for conducting comprehensive due diligence on high-net-worth clients, ensuring compliance with all relevant regulations and internal pol...

• Hong Kong
• HK$600000 - HK$780000 per annum
• Posted 9 days ago

CLIENT BACKGROUND Our client is a leading Private Bank. We are seeking experienced KYC Talent to join the Onboarding team. In this role, you will be responsible for conducting comprehensive due diligence on high-net-worth clients, ensuring compliance with all relevant regulations and internal pol...

• Kansas City
• US$65000 - US$100000 per annum
• Posted about 1 month ago

A long-standing and reputable wealth management firm is hiring on a Compliance Specialist to join their team in the Kansas City Metro. The ideal candidate will be someone that has expertise throughout the Investment Advisory space as a generalist, who is looking to continue to grow and develop th...