Regulatory jobs

• Hong Kong
• HK$600000 - HK$840000 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$600000 - HK$780000 per annum
• Posted 1 day 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$1080000 - HK$1440000 per annum
• Posted 1 day ago

CLIENT BACKGROUND We are seeking an experienced Compliance Director to join our compliance team. This pivotal role will be responsible for developing, implementing, and overseeing compliance programs to ensure our operations are in line with regulatory requirements and internal policies. JOB RESP...

• Hong Kong
• HK$600000 - HK$780000 per annum
• Posted 1 day ago

We are seeking a dedicated and detail-oriented Equities Compliance Specialist to join our team. The ideal candidate will have a strong background in equities compliance, monitoring, testing, or trade surveillance. This role is crucial in ensuring our operations adhere to regulatory standards and ...

• Hong Kong
• HK$420000 - HK$840000 per annum
• Posted 17 days ago

Are you ready to take the next step in your compliance career within the bustling financial sector of Hong Kong? A prestigious firm is seeking a dedicated Equities Compliance professional, offering an opportunity to work at the heart of global finance and regulation. The role involves crucial res...

• New York
• US$200000 - US$230000 per annum
• Posted 18 days ago

A leading investment firm specialized in secondary markets is seeking a Compliance Director to join their legal and compliance team. This exciting role offers the opportunity to work closely with the Chief Operating Officer, Legal Counsel, and Compliance Manager to build and deliver best-in-class...

• Hong Kong
• Negotiable
• Posted 30 days ago

CLIENT BACKGROUND We are seeking an experienced Compliance Director to join our compliance team. This pivotal role will be responsible for developing, implementing, and overseeing compliance programs to ensure our operations are in line with regulatory requirements and internal policies. JOB RESP...

• Hong Kong
• HK$600000 - HK$720000 per annum
• Posted about 1 month 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...