146 Banking Compliance jobs in Hong Kong
Investment Banking Compliance Advisor
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Reference 25000IFU
Responsibilities
Advisory and Regulatory Interpretations
- Provide day-to-day compliance advisory to ECM, Corporate Finance, Syndicate, and Coverage teams on HK specific regulations
- Interpret and advise on the SFO, Listing Rules, Takeovers Code, and sponsor regime under the SFC's Code of Conduct and Listing Rules
- Disclosure obligations, handling of inside information, pre-deal soundings and wall crossing protocols.
Transaction Oversight
- Support due diligence, bookbuilding, and underwriting processes by ensuring adherence to regulatory and internal policies.
- Monitor conflicts of interest, related party transactions, and independence requirements in sponsor and underwriting roles.
- Participate in deal committees and conduct independent compliance reviews on IPSs, placings, rights issues, M&A, and privatizations.
Regulatory Engagement
- Assist in handling SFC and HKEX enquiries, regulatory filings, or investigations related to ECM transaction.
- Liaise with legal, risk, and control room teams to manage deal disclosures, leak management, and blackout lists.
Policy Development and Training
- Draft, maintain, and deliver ECM compliance policies and procedures specific to HK
- Deliver targeted training to bankers, syndicate, and support staff on HK Takeovers Code, market conduct, and IPO sponsor duties.
Governance and Control
- Monitor and test compliance with key controls around deal approval, wall crossing, material non-public information (MNPI) and research analyst independence.
- Maintain records to demonstrate compliance with due diligence guidelines and sponsor independence requirements.
Required
Profile required
Education and Experience
- Bachelor's degree in law, Finance, Legal qualifications are a plus
- Substantial relevant experience in ECM Compliance, Legal or Regulatory Advisory, preferably within a global investment bank or HK Law firm.
- Strong working knowledge of all the investment banking related regulations
Skills & Competencies
- Deep understanding of equity capital markets deals structures, lifecycle, and transactions risks
- Strong analytical and problem-solving skills s with high attention to detail.
- Excellent communication and interpersonal skills, able to deliver clear advice under pressure
- Fluent in English
- Proven ability to work independently and collaboratively with multiple stakeholders across functions
- Comfortable in a fast-paced and dynamic deal driven environment
Behavioral Skills
HKMA Enhanced Competency Framework (ECF) certification is preferred
- Client - Risk: I strive to satisfy clients while taking into account risks for the company
- Client - Understanding and Respect: I listen to clients and colleagues in order to understand and anticipate their needs
- Team Spirit - Conflict Management: I deal with conflicts proactively and in a positive mode
- Innovation - Simplification: I make things & ideas simple
- Responsibility - Risk awareness: I am constantly on the lookout for risks
- Commitment - Sustainability: I strive to develop my skills and knowledge
Diversity, Equity & Inclusion (DE&I):
Our mission: Recruit, develop, advance, and retain a diverse workforce that is united in our efforts to enhance our competitive position and deliver innovative solutions to our clients.
Our vision:
- Engaged workforce that is demographically diverse in a way that reflects the communities in which we operate
- Inclusive culture and workplace that recognizes employees' unique needs and utilizes their diverse talents
- Engage our community and marketplace, and position the organization to meet the needs of all its clients
Check out our DE&I initiatives:
Hybrid Work Environment:
Societe Generale offers a hybrid work arrangement that offers employees the flexibility to work remotely, as well as on-site, in order to promote interaction and collaboration with colleagues while adhering to all SG standard protocols. Hybrid work arrangements vary based on business area. The applicable Business lines will determine and communicate the work arrangements that best meet their business needs
Department Description
SG HK Compliance Department is seeking a highly motivated and knowledgeable ECM Compliance Officer to support our Equity Capital Markets (ECM) and Investment Banking teams in HK.
The role will provide the successful candidate with a unique opportunity to apprehend the various Investment Banking businesses of a top-tier European bank and will be evolving at the forefront of regulatory developments. The position will involve the opportunity to contribute to the build-up and growth of the ECM and M&A franchise and will be in constant interaction with senior management, business lines, and various compliance teams. It is suitable for candidates with appetite for exciting challenges from transforming projects, day-to-day production and advisory components of a role at senior level.
The Investment Banking Compliance Advisor reports hierarchically to the APAC Head of GLBA (Global Banking and Advisory business line) Compliance Advisory and Control Room and primarily supports Investment Banking business, ECM and M&A (IBD), within GLBA (Global Banking and Advisory).
In this capacity, the role includes the support of growth projects in the IBD area, with a leadership mandate to establish the compliance support framework for the new / developing activities, including but not limited to the establishment of ECM franchise in Hong Kong.
Business insight
Our Culture:
At Societe Generale, we live by our 4 core values of commitment, responsibility, team spirit and innovation. We are engaged and demonstrate consideration for others. We act ethically and with courage. We focus our talent and energy on collective success. We experiment and propose new ideas. This way, we maximize our ability to serve client needs and anticipate market changes. Societe Generale is committed to strengthening bonds with colleagues, communities, and the world in which we live, because relationships are at the heart of how we operate.
Please visit our APAC career website: for more information.
Diversity and Inclusion
We are an
equal opportunities employer
and we are proud to make diversity a strength for our company. Societe Generale is committed to recognizing and
promoting all talents
, regardless of their beliefs, age, disability, parental status, ethnic origin, nationality, gender identity, sexual orientation, membership of a political, religious, trade union or minority organisation, or any other characteristic that could be subject to discrimination.
Compliance, Investment Banking Compliance, Analyst, Hong Kong
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Job Description
Compliance Division, Global Banking & Markets – Private Compliance (Investment Banking), Analyst, Hong Kong
As an integral part of the Asia Pacific Global Banking & Markets – Private Compliance (Investment Banking) Compliance team, you will work in a highly collaborative and dynamic environment working directly with the Investment Banking businesses and other Goldman Sachs departments, including Compliance, Legal, Internal Audit, Conflicts Resolution Group, Finance, Human Capital Management and Operations, to address an array of business, legal and regulatory matters related to the Investment Banking businesses across the Asia Pacific region. The Investment Banking segment comprises industry and product groups that focus on leading and innovative financing (including debt, equity, and asset-backed lending), M&A and derivatives transactions as well as financial advisory assignments.
Global Compliance
Our division interprets regulatory requirements to ensure the firm is in compliance and determines how to appropriately pursue global market opportunities. Our analysts monitor regulatory trends in every jurisdiction where the firm operates and we work with regulators to manage financial and non-financial risks. You'll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape.
Responsibilities
- Advice – Provide advice in real time to the Investment Banking businesses on compliance, regulatory, policy and reputational issues, as well as on new business initiatives and significant business changes affecting the firm.
- Controls / Surveillance – Create controls and surveillances to verify adherence to laws, regulations and firm policies and procedures. Assess and determine how to mitigate risk to the firm by analyzing transactional processes used in the Investment Banking businesses and reviewing the activities and actions of individual bankers.
- Policies and Procedures – Ensure that appropriate policies and procedures are in place for the Investment Banking businesses. Drive completion of updates and the creation of new policies in response to regulatory drivers, external factors and business changes while working closely with Legal and business personnel.
- Regulatory Matters – Work with the Investment Banking businesses and Legal in responding to regulatory inquiries, investigations and inspections.
- Testing and Monitoring – Test and monitor controls, surveillances and procedures to assess effectiveness in ensuring adherence to laws, regulations and firm policies and procedures.
- Training – Prepare and deliver live and online training to the Investment Banking population on divisional policies and procedures and relevant laws, regulations and risks.
Basic Qualifications
- Bachelor's degree.
- 2+ years related work experience, preferably in a compliance or legal role at an investment bank, securities company or a law firm.
- Highly motivated and adaptable team player with a positive, "can do" attitude who enjoys working collaboratively.
- Quick learner and self-starter who can work effectively with minimal supervision.
- Highly organized, accurate and detail-oriented with sound judgment and integrity.
- Excellent interpersonal, communication and presentation skills, both written and verbal.
- Strong analytical, research and fact-gathering skills.
- Ability to work well under pressure and to multi-task effectively while adapting to new situations and a dynamic work environment.
- Fluency in English and Mandarin with a strong command of speaking, reading and writing in both languages.
Preferred Qualifications
- Legal or Compliance experience in the finance industry, including experience with exposure to Investment Banking transactions.
- MBA, legal qualification or other similar advanced degree or qualification is preferred.
About Goldman Sachs
At Goldman Sachs, we commit our people, capital and ideas to help our clients, shareholders and the communities we serve to grow. Founded in 1869, we are a leading global investment banking, securities and investment management firm. Headquartered in New York, we maintain offices around the world.
We believe who you are makes you better at what you do. We're committed to fostering and advancing diversity and inclusion in our own workplace and beyond by ensuring every individual within our firm has a number of opportunities to grow professionally and personally, from our training and development opportunities and firmwide networks to benefits, wellness and personal finance offerings and mindfulness programs. Learn more about our culture, benefits, and people at
We're committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more:
The Goldman Sachs Group, Inc., 2024. All rights reserved.
Goldman Sachs is an equal opportunity employer and does not discriminate on the basis of race, color, religion, sex, national origin, age, veterans status, disability, or any other characteristic protected by applicable law.
Compliance Officer - commercial banking
Posted 3 days ago
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Overview
Country Manager - Hong Kong Office at Madison Pearl
On behalf of an international commercial bank, we are seeking a compliance officer with 2-5 years’ experience with AML / Financial Crimes / Sanctions.
Responsibilities- Review Sanctions referrals on clients’ payments & trade transactions and provide decisions in line with internal and external policies.
- Review and mitigate Sanctions risk associated with the bank’s correspondent banking and trade finance business.
- Conduct AML reviews of customer accounts based on AML Alerts and analytical reports.
- Assist the Head of Compliance & MLRO with conducting money laundering related investigations and draft Suspicious Activity Reports.
- Ensure that clients adhere to KYC requirements related to KYC and apply Enhanced Due Diligence (EDD) if required.
- Provide AML/KYC support to RMs and other internal stakeholders.
- 2-5 years’ banking / AML / financial crime / sanctions experience. Experience from a commercial banking / trade finance background would be well regarded.
- Good understanding of local financial crimes (including AML/CFT) legislation, HK financial regulatory requirements and international best practices in compliance.
- Understanding of International Sanctions.
- Undergraduate degree in finance, business or similar.
- Excellent knowledge of MS Excel reports and other relevant banking systems.
- Fluent English, oral and written.
- Qualification(s) in ACAMS or HKIB ECF (AML/CFT) preferred.
- Associate
- Full-time
Compliance Officer - commercial banking
Posted 3 days ago
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Job Description
Country Manager - Hong Kong Office at Madison Pearl
On behalf of an international commercial bank, we are seeking a compliance officer with 2-5 years’ experience with AML / Financial Crimes / Sanctions.
Responsibilities- Review Sanctions referrals on clients’ payments & trade transactions and provide decisions in line with internal and external policies.
- Review and mitigate Sanctions risk associated with the bank’s correspondent banking and trade finance business.
- Conduct AML reviews of customer accounts based on AML Alerts and analytical reports.
- Assist the Head of Compliance & MLRO with conducting money laundering related investigations and draft Suspicious Activity Reports.
- Ensure that clients adhere to KYC requirements related to KYC and apply Enhanced Due Diligence (EDD) if required.
- Provide AML/KYC support to RMs and other internal stakeholders.
- 2-5 years’ banking / AML / financial crime / sanctions experience. Experience from a commercial banking / trade finance background would be well regarded.
- Good understanding of local financial crimes (including AML/CFT) legislation, HK financial regulatory requirements and international best practices in compliance.
- Understanding of International Sanctions.
- Undergraduate degree in finance, business or similar.
- Excellent knowledge of MS Excel reports and other relevant banking systems.
- Fluent English, oral and written.
- Qualification(s) in ACAMS or HKIB ECF (AML/CFT) preferred.
- Associate
- Full-time
Compliance Officer/Senior Compliance Officer
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Job Summary
We are seeking a proactive Compliance Officer / Senior Compliance Officer to support our bond trading and fixed income business by managing regulatory compliance, responding to SFC inquiries, and mitigating compliance risks. The role involves close collaboration with the trading team and RO to ensure adherence to SFC requirements and internal policies.
Key Responsibilities
- Identify and mitigate compliance risks in bond trading activities.
- Act as the secondary contact for handling and responding to SFC inquiries.
- Conduct comprehensive KYC and CDD for new clients, as well as periodic CDD reviews for existing clients.
- Develop, implement, and maintain compliance policies and procedures.
- Provide regulatory guidance and training to the trading team.
- Monitor transactions for compliance with SFC regulations, including AML/CFT and trade reporting requirements.
- Support internal and external audits, ensuring timely resolution of compliance issues.
- Staying up-to-date with changes in regulations and industry best practices.
Qualifications
- Bachelor's degree in Law, Finance, Accounting, Business Administration or related field.
- 3+ years' experience in compliance role.
- In-depth knowledge of SFC regulations, including SFO, AML regulations, KYC procedures, FATCA, and CRS.
- Strong problem-solving and communication skills, proficient in both written and spoken Chinese and English.
- Have on-site inspection experience is highly preferred.
- Applicant with more experience can apply as Senior Compliance Officer.
Compliance Officer
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About the role
This full-time Compliance Officer role at Waton Securities International Limited is located in the Tsim Sha Tsui Yau Tsim Mong District. You will play a key role in ensuring the organisation's compliance with relevant banking and financial services regulations and internal policies.
What you'll be doing
- Monitoring and reviewing the organisation's compliance with relevant laws, regulations and internal policies
- Identifying and assessing compliance risks, and working with stakeholders to implement appropriate controls and mitigations
- Conducting compliance audits and investigations, and reporting findings to senior management
- Providing guidance and training to employees on compliance requirements
- Staying up-to-date with changes in regulations and industry best practices
- Collaborating with other departments to ensure a consistent and effective compliance framework
What we're looking for
- Relevant tertiary qualification in law, finance or a related field
- At least 5 years of experience in a compliance or risk management role within the banking or financial services industry
- Strong knowledge of compliance regulations and best practices in the banking and financial services sector
- Excellent analytical and problem-solving skills to identify and address compliance issues
- Effective communication and interpersonal skills to liaise with stakeholders at all levels
- Ability to work independently and as part of a team
About us
Waton Securities International Limited is a leading financial services firm in Hong Kong, providing a range of wealth management, and securities trading services to clients worldwide. With a strong commitment to ethical practices and client satisfaction, we have built a reputation for excellence in the industry.
If you are interested in this exciting opportunity, please apply now.
Compliance Officer
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About the job
Cregis is a Web3 solution platform, specializing in crypto asset management tools and solutions since 2017. We've served over 3,200 clients, including exchanges, blockchain projects, and crypto funds, with a daily on-chain transaction flow exceeding $30 million.
Job Responsibilities:
- Contract Review and Management:
Review and manage various company contracts, ensuring compliance with Hong Kong laws and regulations, as well as industry standards, to protect the company's legal interests and mitigate compliance risks. - Policy Development and Implementation:
Draft, revise, and implement business policies in accordance with the company's strategic objectives and regulatory requirements, ensuring they align with compliance standards and reflect best practices in the industry. - License Application Preparation:
Prepare and draft documents related to compliance license applications, ensuring the accuracy and compliance of application materials, and assist relevant departments in successfully obtaining and renewing licenses. - Industry Compliance Research:
Regularly track, research, and analyze compliance trends and regulatory changes in the financial industry, both locally and internationally, identify potential compliance risks, and provide recommendations to management. - Internal Training and Communication:
Conduct compliance training and awareness programs to enhance the overall compliance culture within the organization, ensuring all employees understand and adhere to compliance policies. - Compliance Monitoring and Reporting:
Monitor the company's compliance status, regularly report on compliance risk situations to management, propose improvement suggestions, and foster a strong compliance culture.
Qualifications:
- Educational Background:
Bachelor's degree or higher in Law, Finance, Compliance, or a related field. - Work Experience:
3-5 years of relevant compliance experience, preferably within the traditional finance or payment sectors. - Professional Knowledge:
Familiarity with Hong Kong and international financial laws and regulations; knowledge of cryptocurrency and related business compliance is a plus. - Analytical Skills:
Strong policy analysis, risk assessment, and problem-solving abilities, capable of making informed decisions in a complex compliance environment. - Communication Skills:
Excellent written and verbal communication skills, able to collaborate effectively with employees at all levels to drive compliance initiatives. - Language Proficiency:
Fluent in both written and spoken English and Chinese; proficiency in Cantonese is preferred.
Preferred Qualifications:
- Relevant compliance management or auditing certifications (e.g., CAMS, CISA).
- Experience in project management, with the ability to coordinate resources across multiple areas to advance compliance projects.
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Compliance Officer
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Responsibilities:
- Review and analyze all service agreements and provider agreements to ensure compliance with internal policies, regulatory requirements, and industry standards.
- Leverage finance/accounting knowledge, with a focus on tax issues, to identify and address potential compliance risks in financial transactions and reporting.
- Perform KYC checks and ongoing monitoring to verify client identities, assess risks, and maintain accurate records.
- Assist in the application process for relevant licenses and regulatory approvals, coordinating with internal teams and external authorities as needed.
- Arrange and organize compliance documentation for internal audits, external testing, and regulatory inspections, ensuring all materials are up-to-date and readily accessible.
- Stay abreast of evolving regulations and advise on best practices to support business operations.
- Perform ad hoc tasks as assigned
Requirements:
- Bachelor's degree in Law or a related discipline (e.g., Finance, Business Administration with a legal focus).
- Minimum 3 years of solid experience in compliance roles, preferably within financial institutions or regulated industries.
- Strong knowledge of finance/accounting principles, particularly tax-related issues, is highly desirable.
- A quick learner who is self-motivated with a strong sense of responsibility.
- Willing to learn, detail-minded, well-organized, with excellent communication skills and the ability to multi-task independently.
- Good interpersonal skills and a proven team player, capable of building relationships across departments.
- Proficiency in Microsoft Office Suite and compliance management software
- Excellent command of English (written and verbal); additional languages are advantageous.
We offer rewarding career with attractive remuneration package including 5-days week, Bonus, Medical scheme, Study sponsorship scheme to the right candidates.
Free shuttle bus is provided by the management office between Kwun Tong office and Lam Tin MTR station in every 5 mins.
Interested candidates should send FULL RESUME with Current & Expected salary by clicking "Apply now".
All information provided by applicants will be treated in strictly confidential and used only for recruitment purposes.
Compliance Officer
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Job Description
- Execute comprehensive internal control measures and operational procedures to enhance the effectiveness of risk mitigation;
- Contribute to the development of workflows for corporate Enterprise Resource Planning system;
- Identify and analyze risks associated with new business development;
- Assist in creating procedure manuals for operations;
- Support the preparation of internal audits;
- Review risk control procedures to ensure compliance with the latest regulatory requirements;
- Handle ad hoc projects as assigned.
Job Requirements
- Degree holder in Finance and Risk Management;
- At least 2-3 years of experience in internal control, with strong report writing and data analysis skills required. Experience in the oil industry is a plus;
- Strong business acumen and good team player;
- Good command of Chinese, English and Mandarin;
- Proficient in PowerPoint, Excel, and tools for presenting findings and recommendations;
- Independent and mature, with excellent presentation and communication skills, able to work under pressure;
- Immediate availability or short notice is preferred.
We offer competitive remuneration packages and good career prospects to the right candidate. Interested parties please send detailed resume with expected salary by "Quick Apply". Personal data collected will be used for recruitment purpose only.
Compliance Officer
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Job Description
- Provide operational support in performing compliance functions and statutory requirements of IA and SFC to ensure full compliance with regulatory and internal control requirements;
- Handle statutory reporting and inquiries from regulatory bodies and conduct related investigations;
- Conduct daily AML monitoring and perform KYC review of the clients;
- Perform compliance reviews including transactions monitoring and monitoring of employee activities;
- Ensure the business operation of the company is fully complied with the internal policies and rules and regulations of the regulatory institutions;
- Responsible for license renewal and applications;
- Undertake other duties as from time to time necessary to assist Chief Compliance Officer.
Requirement
- Degree Holder related in compliance, law, corporate governance or related disciplines
- 2-5 year of relevant work experiences
- Knowledge in Anti-Money Laundering and Counter-Terrorist Financing Ordinance, Securities and Futures Ordinance and related regulatory requirements is definitely an advantage
- Strong sense of responsibility, detail-minded, able to work independently and under pressure
- A good team player with effective communication and interpersonal skills
- Good command of written and spoken English and Chinese including Putonghua