395 Compliance jobs in Hong Kong

Legal & Compliance, Research Compliance Associate

AlphaSights

Posted 10 days ago

Job Viewed

Tap Again To Close

Job Description

Legal & Compliance, Research Compliance Associate

Join to apply for the Legal & Compliance, Research Compliance Associate role at AlphaSights

Legal & Compliance, Research Compliance Associate

Join to apply for the Legal & Compliance, Research Compliance Associate role at AlphaSights

Job level: Entry level

Start date: Immediate Start/July/September 2025

About This Role

The Research Compliance team is a dynamic and innovative function which enables the expansion of our fastest-growing business segments globally. As the Research Compliance Associate you will report into the Research Compliance Manager based in Hong Kong and work alongside the Research teams to enable a safe end-to-end delivery of our Research products. You will also collaborate with the Legal and Client Protection teams, as well as a number of other stakeholders across the business. Your responsibilities include:

  • Review expert profiles and project requirements for the delivery of expert knowledge to our clients by the Research team
  • Format, proofread, and screen written output (transcripts) specifically to ensure that all information complies with AlphaSights’ legal and compliance policies and applicable regulatory requirements
  • Work with the Research team and other stakeholders across the business to resolve any compliance flags
  • Provide legal and compliance training to the Research team and other stakeholders
  • Draft and maintain compliance policies for our Research services

Role

We will provide you with autonomy and independence in your day-to-day work and give you the opportunity to be a self-starter. This is an ideal role for someone who’s keen to gain compliance, legal, and operations experience while having direct access to the commercial and organizational workings of a dynamic, innovative global business. We are looking for a person who wants to join our high-performance team, have real impact and be part of AlphaSights’ growth story. Here are some qualities that many of our successful applicants possess:

  • Fantastic proofreading experience and acute attention to detail
  • Ability to effectively prioritize tasks, manage time, remain highly organized and swiftly execute within a fast-paced environment
  • Persistence, drive, and a goal-focused mindset as you own projects from initiation to completion

Requirements

  • Bachelor's degree, with strong academic credentials in any field and noteworthy extracurricular leadership
  • 0-1 year of work experience as a Compliance Associate, Legal Assistant, Paralegal, or similar roles. Recent graduates with high potential are also welcomed
  • Track record of strong academic performance
  • Extracurricular achievement throughout school and university
  • Fluency in written and spoken English is essential. Fluency in a relevant foreign language is a plus

Career Progression

  • Years 0–2: Our Research Compliance Associates are responsible for reviewing research to ensure it aligns with our legal and compliance framework and upholds company standards. They are dedicated to maintaining core compliance principles and ensuring all research meets AlphaSights’ and clients' expectations.
  • Years 2+: As a Senior Research Compliance Associate, you’ll take ownership of key compliance initiatives while leading and mentoring team members to drive excellence.
  • Years 3+: Research Compliance Managers oversee the compliance programme of the region, build and manage high performing teams independently, and drive innovations in our processes, policies and products.

Compensation And Benefits

  • Competitive fixed annual base salary, plus opportunity to earn performance based bonus
  • 15 days annual leave, six months full maternity leave, and six weeks full paternity leave
  • Private medical & dental insurance, and annual health check-up
  • Tax-advantaged housing allowance up to 50% of monthly base salary
  • In office Monday to Thursday (option to WFH each Friday and four extra days/quarter)
  • State-of-the-art office with amenities in the heart of Hong Kong

AlphaSights is an equal-opportunity employer.

Seniority level
  • Seniority level Entry level
Employment type
  • Employment type Full-time
Job function
  • Job function Legal, General Business, and Other
  • Industries Information Services

Referrals increase your chances of interviewing at AlphaSights by 2x

Sign in to set job alerts for “Legal Researcher” roles. Assistant Manager to Deputy Manager, General Compliance (Compliance and Legal Legal Consultant - Junior Litigation Counsel, Financial Services Legal Counsel – Private Funds (~5 PQE, Buy-Side) Legal Counsel - Employment benefits and Incentives - HSBC Legal Legal Counsel and Compliance Officer (Buy-Side) Senior Legal, Ethics & Compliance Counsel - Asia

We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.

#J-18808-Ljbffr
This advertiser has chosen not to accept applicants from your region.

Legal & Compliance, Research Compliance Associate

Hong Kong, Hong Kong AlphaSights

Posted 3 days ago

Job Viewed

Tap Again To Close

Job Description

Legal & Compliance, Research Compliance Associate

Join to apply for the Legal & Compliance, Research Compliance Associate role at AlphaSights

Legal & Compliance, Research Compliance Associate

Join to apply for the Legal & Compliance, Research Compliance Associate role at AlphaSights

Job level: Entry level
Start date: Immediate Start/July/September 2025
About This Role
The Research Compliance team is a dynamic and innovative function which enables the expansion of our fastest-growing business segments globally. As the Research Compliance Associate you will report into the Research Compliance Manager based in Hong Kong and work alongside the Research teams to enable a safe end-to-end delivery of our Research products. You will also collaborate with the Legal and Client Protection teams, as well as a number of other stakeholders across the business. Your responsibilities include:

  • Review expert profiles and project requirements for the delivery of expert knowledge to our clients by the Research team
  • Format, proofread, and screen written output (transcripts) specifically to ensure that all information complies with AlphaSights’ legal and compliance policies and applicable regulatory requirements
  • Work with the Research team and other stakeholders across the business to resolve any compliance flags
  • Provide legal and compliance training to the Research team and other stakeholders
  • Draft and maintain compliance policies for our Research services
Role
We will provide you with autonomy and independence in your day-to-day work and give you the opportunity to be a self-starter. This is an ideal role for someone who’s keen to gain compliance, legal, and operations experience while having direct access to the commercial and organizational workings of a dynamic, innovative global business. We are looking for a person who wants to join our high-performance team, have real impact and be part of AlphaSights’ growth story. Here are some qualities that many of our successful applicants possess:
  • Fantastic proofreading experience and acute attention to detail
  • Ability to effectively prioritize tasks, manage time, remain highly organized and swiftly execute within a fast-paced environment
  • Persistence, drive, and a goal-focused mindset as you own projects from initiation to completion
Requirements
  • Bachelor's degree, with strong academic credentials in any field and noteworthy extracurricular leadership
  • 0-1 year of work experience as a Compliance Associate, Legal Assistant, Paralegal, or similar roles. Recent graduates with high potential are also welcomed
  • Track record of strong academic performance
  • Extracurricular achievement throughout school and university
  • Fluency in written and spoken English is essential. Fluency in a relevant foreign language is a plus
Career Progression
  • Years 0–2: Our Research Compliance Associates are responsible for reviewing research to ensure it aligns with our legal and compliance framework and upholds company standards. They are dedicated to maintaining core compliance principles and ensuring all research meets AlphaSights’ and clients' expectations.
  • Years 2+: As a Senior Research Compliance Associate, you’ll take ownership of key compliance initiatives while leading and mentoring team members to drive excellence.
  • Years 3+: Research Compliance Managers oversee the compliance programme of the region, build and manage high performing teams independently, and drive innovations in our processes, policies and products.
Compensation And Benefits
  • Competitive fixed annual base salary, plus opportunity to earn performance based bonus
  • 15 days annual leave, six months full maternity leave, and six weeks full paternity leave
  • Private medical & dental insurance, and annual health check-up
  • Tax-advantaged housing allowance up to 50% of monthly base salary
  • In office Monday to Thursday (option to WFH each Friday and four extra days/quarter)
  • State-of-the-art office with amenities in the heart of Hong Kong
AlphaSights is an equal-opportunity employer. Seniority level
  • Seniority level Entry level
Employment type
  • Employment type Full-time
Job function
  • Job function Legal, General Business, and Other
  • Industries Information Services

Referrals increase your chances of interviewing at AlphaSights by 2x

Sign in to set job alerts for “Legal Researcher” roles. Assistant Manager to Deputy Manager, General Compliance (Compliance and Legal Legal Consultant - Junior Litigation Counsel, Financial Services Legal Counsel – Private Funds (~5 PQE, Buy-Side) Legal Counsel - Employment benefits and Incentives - HSBC Legal Legal Counsel and Compliance Officer (Buy-Side) Senior Legal, Ethics & Compliance Counsel - Asia

We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.

#J-18808-Ljbffr
This advertiser has chosen not to accept applicants from your region.

Legal & Compliance Associate

Lalamove

Posted 10 days ago

Job Viewed

Tap Again To Close

Job Description

Join to apply for the Legal & Compliance Associate role at Lalamove

Continue with Google Continue with Google

Join to apply for the Legal & Compliance Associate role at Lalamove

Our Legal & Compliance Team is seeking for a corporate lawyer familiar with the HK listing rules compliance, general corporate governance and compliance and corporate transactions, open to lawyers from in-house or private practice. This role represents an excellent opportunity to transition into a reputable company with strong financial backing, and with international/regional projects, and to gain experience in handling legal matters, managing legal risks, and ensuring compliance with applicable laws and regulations across various markets where the group operates.

What You'll Do

  • Developing and implementing legal policies and guidelines to protect the group’s interests and ensure compliance with all applicable laws and regulations;
  • Drafting documents (e.g. announcements, circulars, board papers and etc.) and providing advice and analysis in relation to the day-to-day operation of the group including but not limited to listing rules compliance, corporate governance and other regulatory/privacy-related matters;
  • Conducting legal research and analysis on legal/compliance developments (e.g. listing rules, data protection and etc.) that may impact the group’s operations and recommending appropriate courses of action;
  • Providing legal training to business stakeholders on key legal issues and best practices;
  • Providing timely and practical legal advice and analysis to the group to assist in commercial projects and legal affairs of the group, including reviewing and drafting contracts, agreements, and other legal documents;
  • Assisting other senior lawyers with different tasks assigned from time to time and effective administration of the Legal & Compliance Team.

What You'll Need

  • 2-4 years’ post-qualification experience gained from reputable law firms or MNCs.
  • Qualified in Hong Kong or other common law jurisdictions or the U.S.
  • Experience in Hong Kong listing rules compliance, corporate governance and compliance and commercial transactions.
  • Experience in dealing with data protection issues and regulatory practice relating to international businesses
  • Exceptional attention to detail and excellent presentation and interpersonal skills with ability to work independently or in a team.
  • Strong sense of responsibility and responsiveness.
  • Energetic with excellent communication skills in both English and Chinese (Cantonese and Mandarin).
  • Able to demonstrate strong commercial awareness.
  • Prior in-house experience is an advantage.

To all candidates- Lalamove respects your privacy and is committed to protecting your personal data.

This Notice will inform you how we will use your personal data, explain your privacy rights and the protection you have by the law when you apply to join us. Please take time to read and understand this Notice. Candidate Privacy Notice:

Seniority level
  • Seniority level Mid-Senior level
Employment type
  • Employment type Full-time
Job function
  • Job function Finance and Sales
  • Industries Transportation, Logistics, Supply Chain and Storage and Information Services

Referrals increase your chances of interviewing at Lalamove by 2x

Sign in to set job alerts for “Compliance Associate” roles.

Continue with Google Continue with Google

Continue with Google Continue with Google

Assistant Manager/ Manager – Regulatory & Compliance (Assistant / Deputy) Compliance Manager (Compliance Review) Legal & Compliance, Client Protection Associate Officer Trainee – Compliance (Ref: CO-OTCP) Assistant to Deputy Manager, Corporate & Institutional Banking Compliance (FCC) Compliance Officer - FS Sanctions Compliance Officer, Financial Crime Compliance – 1 year contract KYC Remediation Consultant (Contract Position)

Wan Chai District, Hong Kong SAR 6 days ago

Global Markets Regulatory Compliance Trainee (One Year Contract) Associate, Compliance Risk and Diligence Private Side and Research Compliance, Associate/ Director Assistant Manager to Deputy Manager, General Compliance (Compliance and Legal Assistant / Compliance Manager (Hong Kong Branch) Contract Analyst, AML (Policy and Due Diligence), 6-month contract

We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.

#J-18808-Ljbffr
This advertiser has chosen not to accept applicants from your region.

Legal/ Compliance Officer

HedgeSPA (Sophisticated Predictive Analytics for Hedge Funds and Leading Institutions)

Posted 10 days ago

Job Viewed

Tap Again To Close

Job Description

Join to apply for the Legal/Compliance Officer role at HedgeSPA (Sophisticated Predictive Analytics for Hedge Funds and Leading Institutions) .

Get AI-powered advice on this job and more exclusive features.

Description
  • Implement and manage an effective legal compliance program
  • Develop and review company policies
  • Advise management on the company’s compliance with laws and regulations through detailed reports
  • Create and manage effective action plans in response to audit discoveries and compliance violations
  • Regularly audit company procedures, practices, and documents to identify possible weaknesses or risks
  • Assess company operations to determine compliance risk
  • Ensure all employees are educated on the latest regulations and processes
  • Resolve employee concerns about legal compliance
Requirements
  • Minimal experience level: Over 1 year
  • Career Level: Entry Level
  • Minimum English Level: Business Level (English usage about 50%)
  • Minimum Education Level: Bachelor's Degree
  • Required Skills: Knowledge in legal and regulatory compliance procedures, professional maturity
Benefits
  • American-style Employee Stock Option Scheme
  • Negotiable salary based on experience
  • Bonuses paid on top of indicated salary
Additional Information
  • Seniority level: Entry level
  • Employment type: Full-time
  • Job function: Legal
#J-18808-Ljbffr
This advertiser has chosen not to accept applicants from your region.

Legal/ Compliance Officer

Hong Kong, Hong Kong HedgeSPA (Sophisticated Predictive Analytics for Hedge Funds and Leading Institutions)

Posted 3 days ago

Job Viewed

Tap Again To Close

Job Description

Join to apply for the Legal/Compliance Officer role at HedgeSPA (Sophisticated Predictive Analytics for Hedge Funds and Leading Institutions) .

Get AI-powered advice on this job and more exclusive features.

Description
  • Implement and manage an effective legal compliance program
  • Develop and review company policies
  • Advise management on the company’s compliance with laws and regulations through detailed reports
  • Create and manage effective action plans in response to audit discoveries and compliance violations
  • Regularly audit company procedures, practices, and documents to identify possible weaknesses or risks
  • Assess company operations to determine compliance risk
  • Ensure all employees are educated on the latest regulations and processes
  • Resolve employee concerns about legal compliance
Requirements
  • Minimal experience level: Over 1 year
  • Career Level: Entry Level
  • Minimum English Level: Business Level (English usage about 50%)
  • Minimum Education Level: Bachelor's Degree
  • Required Skills: Knowledge in legal and regulatory compliance procedures, professional maturity
Benefits
  • American-style Employee Stock Option Scheme
  • Negotiable salary based on experience
  • Bonuses paid on top of indicated salary
Additional Information
  • Seniority level: Entry level
  • Employment type: Full-time
  • Job function: Legal
#J-18808-Ljbffr
This advertiser has chosen not to accept applicants from your region.

Legal & Compliance Associate

Hong Kong, Hong Kong Lalamove

Posted 15 days ago

Job Viewed

Tap Again To Close

Job Description

Join to apply for the Legal & Compliance Associate role at Lalamove

Continue with Google Continue with Google

Join to apply for the Legal & Compliance Associate role at Lalamove

Our Legal & Compliance Team is seeking for a corporate lawyer familiar with the HK listing rules compliance, general corporate governance and compliance and corporate transactions, open to lawyers from in-house or private practice. This role represents an excellent opportunity to transition into a reputable company with strong financial backing, and with international/regional projects, and to gain experience in handling legal matters, managing legal risks, and ensuring compliance with applicable laws and regulations across various markets where the group operates.
What You'll Do

  • Developing and implementing legal policies and guidelines to protect the group’s interests and ensure compliance with all applicable laws and regulations;
  • Drafting documents (e.g. announcements, circulars, board papers and etc.) and providing advice and analysis in relation to the day-to-day operation of the group including but not limited to listing rules compliance, corporate governance and other regulatory/privacy-related matters;
  • Conducting legal research and analysis on legal/compliance developments (e.g. listing rules, data protection and etc.) that may impact the group’s operations and recommending appropriate courses of action;
  • Providing legal training to business stakeholders on key legal issues and best practices;
  • Providing timely and practical legal advice and analysis to the group to assist in commercial projects and legal affairs of the group, including reviewing and drafting contracts, agreements, and other legal documents;
  • Assisting other senior lawyers with different tasks assigned from time to time and effective administration of the Legal & Compliance Team.
What You'll Need
  • 2-4 years’ post-qualification experience gained from reputable law firms or MNCs.
  • Qualified in Hong Kong or other common law jurisdictions or the U.S.
  • Experience in Hong Kong listing rules compliance, corporate governance and compliance and commercial transactions.
  • Experience in dealing with data protection issues and regulatory practice relating to international businesses
  • Exceptional attention to detail and excellent presentation and interpersonal skills with ability to work independently or in a team.
  • Strong sense of responsibility and responsiveness.
  • Energetic with excellent communication skills in both English and Chinese (Cantonese and Mandarin).
  • Able to demonstrate strong commercial awareness.
  • Prior in-house experience is an advantage.
To all candidates- Lalamove respects your privacy and is committed to protecting your personal data.
This Notice will inform you how we will use your personal data, explain your privacy rights and the protection you have by the law when you apply to join us. Please take time to read and understand this Notice. Candidate Privacy Notice:

Seniority level
  • Seniority level Mid-Senior level
Employment type
  • Employment type Full-time
Job function
  • Job function Finance and Sales
  • Industries Transportation, Logistics, Supply Chain and Storage and Information Services

Referrals increase your chances of interviewing at Lalamove by 2x

Sign in to set job alerts for “Compliance Associate” roles.

Continue with Google Continue with Google

Continue with Google Continue with Google

Assistant Manager/ Manager – Regulatory & Compliance (Assistant / Deputy) Compliance Manager (Compliance Review) Legal & Compliance, Client Protection Associate Officer Trainee – Compliance (Ref: CO-OTCP) Assistant to Deputy Manager, Corporate & Institutional Banking Compliance (FCC) Compliance Officer - FS Sanctions Compliance Officer, Financial Crime Compliance – 1 year contract KYC Remediation Consultant (Contract Position)

Wan Chai District, Hong Kong SAR 6 days ago

Global Markets Regulatory Compliance Trainee (One Year Contract) Associate, Compliance Risk and Diligence Private Side and Research Compliance, Associate/ Director Assistant Manager to Deputy Manager, General Compliance (Compliance and Legal Assistant / Compliance Manager (Hong Kong Branch) Contract Analyst, AML (Policy and Due Diligence), 6-month contract

We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.

#J-18808-Ljbffr
This advertiser has chosen not to accept applicants from your region.

Director, Compliance (Legal, Risk & Compliance Department)

CMU OmniClear Limited

Posted 8 days ago

Job Viewed

Tap Again To Close

Job Description

Director, Compliance (Legal, Risk & Compliance Department)

Join to apply for the Director, Compliance (Legal, Risk & Compliance Department) role at CMU OmniClear Limited

Director, Compliance (Legal, Risk & Compliance Department)

2 days ago Be among the first 25 applicants

Join to apply for the Director, Compliance (Legal, Risk & Compliance Department) role at CMU OmniClear Limited

Director, Compliance (Legal, Risk & Compliance Department)

Key Responsibilities

  • Develop, review and implement relevant compliance policies, procedures and guidelines, including those related to the code of conduct, personal securities trading restrictions, outside appointments, gifts and entertainments, and treasury management activities
  • Enhance the anti-money laundering (AML) and know-your-customer (KYC) framework to accommodate the growing number of overseas participants in our client base
  • Develop and maintain a compliance program that aligns with industry best practices and regulatory requirements
  • Ensure compliance with relevant regulatory requirements, including those related to AML and KYC
  • Establish a framework for reporting and managing incidents of non-compliance to ensure timely and effective responses to compliance breaches or concerns
  • Maintain relationship with regulators (e.g. Financial Market Infrastructure Oversight Division under the Hong Kong Monetary Authority) regarding compliance with the Payment Systems and Stored Value Facilities Ordinance (Cap. 584), the Principles for Financial Market Infrastructures (PFMI) and other relevant laws and regulations
  • Collaborate with stakeholders to develop compliance assessments and mitigation strategies
  • Develop and maintain compliance reports and dashboards to provide insights to senior management
  • Stay up-to-date with industry developments and emerging regulatory requirements, providing guidance on compliance best practices

Requirements

  • University degree in Finance, Business Management, Risk management, Law or related fields.
  • At least 8 years of experience in compliance within the financial services industry, preferably in capital markets or central securities depositories or custody business
  • Familiarity with financial markets and the regulatory frameworks applicable to financial market infrastructures (e.g. payment systems, central securities depositories)
  • Understanding of the operation of Euroclear, Clearstream or DTCC is a distinct advantage
  • Proven track record of developing and implementing effective compliance programs
  • Strong understanding of compliance principles, including AML and KYC requirements
  • Organised and detail-oriented, with effective communication skills
  • Strong problem-solving and analytical skills, and highly motivated with the ability to manage competing priorities and meet deadlines
  • Excellent command of spoken and written English; proficiency in Chinese is preferable
  • Candidates with supplementary experience and qualifications will also be considered, even if they do not meet all of the specified requirements above

(Candidates with less experience may be considered for an offer of appointment at Associate Director level.)

Conditions of service

  • Appointment will be offered by CMU OmniClear
  • A competitive remuneration package will be offered. There is flexibility to take account of additional experience and qualifications
  • Fringe benefits include medical and dental benefits and paid annual leave

Closing Date for Application: 30 August 2025.

Please visit our website at for more information about the position.

Seniority level
  • Seniority level Director
Employment type
  • Employment type Full-time
Job function
  • Job function Other

Referrals increase your chances of interviewing at CMU OmniClear Limited by 2x

Get notified about new Director of Compliance jobs in Hong Kong, Hong Kong SAR .

Head of Client Acceptance, Global Incorporations Vice President, Product Compliance (Corporate Banking) Executive Director, Equity Order Management Systems Engineering Director - Compliance AML Team Lead Infrastructure & Security Director – Manufacturing Enterprise General Manager, Operations Control Centre PROJECT ENGINEERING DIRECTOR - toy manufacturer (Quarry Bay) Business Planning Management, Investment & Product Advisory, PvB Associate Director / Manager - Investigation and Compliance Virtual Assets & Crypto Products Compliance Director Associate Director, IBD Compliance, Compliance Virtual Assets & Crypto Products Compliance Director HEAD OF COMPLIANCE | REGIONAL BANK | INTERNATIONAL EXPANSION Senior Manager, International Compliance

Central & Western District, Hong Kong SAR 2 months ago

Head of Compliance | Asset Management, Confidential Hire | HK$80-85K

We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.

#J-18808-Ljbffr
This advertiser has chosen not to accept applicants from your region.
Be The First To Know

About the latest Compliance Jobs in Hong Kong !

Director, Compliance (Legal, Risk & Compliance Department)

Hong Kong, Hong Kong CMU OmniClear Limited

Posted 1 day ago

Job Viewed

Tap Again To Close

Job Description

Director, Compliance (Legal, Risk & Compliance Department)

Join to apply for the Director, Compliance (Legal, Risk & Compliance Department) role at CMU OmniClear Limited

Director, Compliance (Legal, Risk & Compliance Department)

2 days ago Be among the first 25 applicants

Join to apply for the Director, Compliance (Legal, Risk & Compliance Department) role at CMU OmniClear Limited

Director, Compliance (Legal, Risk & Compliance Department)

Key Responsibilities

  • Develop, review and implement relevant compliance policies, procedures and guidelines, including those related to the code of conduct, personal securities trading restrictions, outside appointments, gifts and entertainments, and treasury management activities
  • Enhance the anti-money laundering (AML) and know-your-customer (KYC) framework to accommodate the growing number of overseas participants in our client base
  • Develop and maintain a compliance program that aligns with industry best practices and regulatory requirements
  • Ensure compliance with relevant regulatory requirements, including those related to AML and KYC
  • Establish a framework for reporting and managing incidents of non-compliance to ensure timely and effective responses to compliance breaches or concerns
  • Maintain relationship with regulators (e.g. Financial Market Infrastructure Oversight Division under the Hong Kong Monetary Authority) regarding compliance with the Payment Systems and Stored Value Facilities Ordinance (Cap. 584), the Principles for Financial Market Infrastructures (PFMI) and other relevant laws and regulations
  • Collaborate with stakeholders to develop compliance assessments and mitigation strategies
  • Develop and maintain compliance reports and dashboards to provide insights to senior management
  • Stay up-to-date with industry developments and emerging regulatory requirements, providing guidance on compliance best practices

Requirements

  • University degree in Finance, Business Management, Risk management, Law or related fields.
  • At least 8 years of experience in compliance within the financial services industry, preferably in capital markets or central securities depositories or custody business
  • Familiarity with financial markets and the regulatory frameworks applicable to financial market infrastructures (e.g. payment systems, central securities depositories)
  • Understanding of the operation of Euroclear, Clearstream or DTCC is a distinct advantage
  • Proven track record of developing and implementing effective compliance programs
  • Strong understanding of compliance principles, including AML and KYC requirements
  • Organised and detail-oriented, with effective communication skills
  • Strong problem-solving and analytical skills, and highly motivated with the ability to manage competing priorities and meet deadlines
  • Excellent command of spoken and written English; proficiency in Chinese is preferable
  • Candidates with supplementary experience and qualifications will also be considered, even if they do not meet all of the specified requirements above

(Candidates with less experience may be considered for an offer of appointment at Associate Director level.)

Conditions of service

  • Appointment will be offered by CMU OmniClear
  • A competitive remuneration package will be offered. There is flexibility to take account of additional experience and qualifications
  • Fringe benefits include medical and dental benefits and paid annual leave

Closing Date for Application: 30 August 2025.

Please visit our website at for more information about the position.

Seniority level
  • Seniority level Director
Employment type
  • Employment type Full-time
Job function
  • Job function Other

Referrals increase your chances of interviewing at CMU OmniClear Limited by 2x

Get notified about new Director of Compliance jobs in Hong Kong, Hong Kong SAR .

Head of Client Acceptance, Global Incorporations Vice President, Product Compliance (Corporate Banking) Executive Director, Equity Order Management Systems Engineering Director - Compliance AML Team Lead Infrastructure & Security Director – Manufacturing Enterprise General Manager, Operations Control Centre PROJECT ENGINEERING DIRECTOR - toy manufacturer (Quarry Bay) Business Planning Management, Investment & Product Advisory, PvB Associate Director / Manager - Investigation and Compliance Virtual Assets & Crypto Products Compliance Director Associate Director, IBD Compliance, Compliance Virtual Assets & Crypto Products Compliance Director HEAD OF COMPLIANCE | REGIONAL BANK | INTERNATIONAL EXPANSION Senior Manager, International Compliance

Central & Western District, Hong Kong SAR 2 months ago

Head of Compliance | Asset Management, Confidential Hire | HK$80-85K

We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.

#J-18808-Ljbffr
This advertiser has chosen not to accept applicants from your region.

Sr. Legal & Compliance Manager

Novo Nordisk

Posted 10 days ago

Job Viewed

Tap Again To Close

Job Description

Join to apply for the Sr. Legal & Compliance Manager role at Novo Nordisk

4 days ago Be among the first 25 applicants

Join to apply for the Sr. Legal & Compliance Manager role at Novo Nordisk

Get AI-powered advice on this job and more exclusive features.

  • Ensure compliance with legal and regulatory requirements
  • Monitor and interpret relevant laws, regulations, and standards to ensure the organisation operates within legal boundaries;
  • Collaborate with departments to implement and audit compliance programs in line with global and local standards;
  • Design, test and monitor compliance control points within company SOPs; Streamline the global and local compliance frameworks to align with regulatory and ethical requirements in enhancing control effectiveness.
  • Provide legal counsel and support to HK business operations
  • Advise on corporate law, contracts, intellectual property, other business and commercial related legal matters (e.g. partnerships, joint ventures);
  • Support business transactions, negotiations, and dispute resolution processes;
  • Approve branded and unbranded materials.
  • Manage risk assessment and mitigation strategies
  • Conduct proactive compliance risk assessments and identify potential legal and compliance risks and develop strategies to address them;
  • Regularly review and update risk management plans to align with evolving regulations;
  • Lead cross-functional projects to optimize control setups for compliance risk mitigation and business effectiveness;
  • Ensure that local law and global TEN requirements are reflected in local compliance templates and materials.
  • Oversee internal audits and reporting processes
  • Conduct and utilize various auditing approach to evaluate adherence to legal and compliance standards as well as policy execution;
  • Prepare and present reports on audit findings to enhance internal control and recommend corrective actions;
  • Maintain regular communication and strong relationships with internal stakeholders, including the Compliance office of Region China, GIA, and Risk office
  • Oversee the GIA BE compliance audit and implement action plans for audit findings.
  • Local data protection responsibilities
  • Maintain and update personal data overviews in compliance with local laws and global standards;
  • Cascade communications from the Data Protection Office (DPO) and facilitate knowledge sharing;
  • Assess risks associated with personal data processing and advise on related issues;
  • Support the DPO in responding to data breaches and coordinate local responses per global plans; Assist the DPO in interactions with local Data Protection Authorities;
  • Create awareness around AI Ethics & Data Privacy requirements;
  • Advise affiliate on issues related to AI and Data Privacy;
  • Support with personal data breach mitigation and with data subject requests (DSR).
  • Foster ethical business practices across the organisation
  • Promote a culture of integrity and accountability through communication and leadership; Address ethical concerns and ensure alignment with the organisation’s values and policies;
  • Provide timely training on policy changes, competition law, risks, and procedural updates.



Novo Nordisk Hongkong (NNHK)

Location: Hongkong

The Position


  • Ensure compliance with legal and regulatory requirements
  • Monitor and interpret relevant laws, regulations, and standards to ensure the organisation operates within legal boundaries;
  • Collaborate with departments to implement and audit compliance programs in line with global and local standards;
  • Design, test and monitor compliance control points within company SOPs; Streamline the global and local compliance frameworks to align with regulatory and ethical requirements in enhancing control effectiveness.
  • Provide legal counsel and support to HK business operations
  • Advise on corporate law, contracts, intellectual property, other business and commercial related legal matters (e.g. partnerships, joint ventures);
  • Support business transactions, negotiations, and dispute resolution processes;
  • Approve branded and unbranded materials.
  • Manage risk assessment and mitigation strategies
  • Conduct proactive compliance risk assessments and identify potential legal and compliance risks and develop strategies to address them;
  • Regularly review and update risk management plans to align with evolving regulations;
  • Lead cross-functional projects to optimize control setups for compliance risk mitigation and business effectiveness;
  • Ensure that local law and global TEN requirements are reflected in local compliance templates and materials.
  • Oversee internal audits and reporting processes
  • Conduct and utilize various auditing approach to evaluate adherence to legal and compliance standards as well as policy execution;
  • Prepare and present reports on audit findings to enhance internal control and recommend corrective actions;
  • Maintain regular communication and strong relationships with internal stakeholders, including the Compliance office of Region China, GIA, and Risk office
  • Oversee the GIA BE compliance audit and implement action plans for audit findings.
  • Local data protection responsibilities
  • Maintain and update personal data overviews in compliance with local laws and global standards;
  • Cascade communications from the Data Protection Office (DPO) and facilitate knowledge sharing;
  • Assess risks associated with personal data processing and advise on related issues;
  • Support the DPO in responding to data breaches and coordinate local responses per global plans; Assist the DPO in interactions with local Data Protection Authorities;
  • Create awareness around AI Ethics & Data Privacy requirements;
  • Advise affiliate on issues related to AI and Data Privacy;
  • Support with personal data breach mitigation and with data subject requests (DSR).
  • Foster ethical business practices across the organisation
  • Promote a culture of integrity and accountability through communication and leadership; Address ethical concerns and ensure alignment with the organisation’s values and policies;
  • Provide timely training on policy changes, competition law, risks, and procedural updates.



Qualifications


  • Bachelor’s degree in Law or related discipline, with relevant professional certification is preferred.
  • Qualified lawyer in Hong Kong with practicing certificate; having PRC legal background and/or holding a PRC legal qualification is preferable.
  • Minimum 3-5 years of post-qualification legal/compliance work experience, preferably gained from life sciences, healthcare, consumer healthcare, nutrition sectors.
  • Experience in working in multinational pharmaceutical company is highly preferred.
  • Fluency in both written & spoken English and Chinese (both Cantonese and Mandarin).
  • Strong legal acumen with sound knowledge in legal principles, corporate law, and regulatory frameworks.
  • Proven leadership capabilities, with effective stakeholders’ management skills and be able to communicate with internal and external parties at all levels effectively.
  • Demonstrated high adaptability in changing priorities and meeting tight deadlines.
  • Ability to work in a fast-paced and dynamic environment independently.
  • Agile, flexible, energetic, reliable, trust-worthy, team player.



We commit to an inclusive recruitment process and equality of opportunity for all our job applicants.

We’re not your typical healthcare company. In a modern world of quick fixes, we focus on solutions to defeat serious chronic diseases and promote long-term health. Our unordinary mindset is at the heart of everything we do. We seek out new ideas and put people first as we push the boundaries of science, make healthcare more accessible, and treat, prevent, and even cure diseases that affect millions of lives. Because it takes an unordinary approach to drive real, lasting change in health.Seniority level
  • Seniority level Not Applicable
Employment type
  • Employment type Full-time
Job function
  • Job function Legal
  • Industries Pharmaceutical Manufacturing

Referrals increase your chances of interviewing at Novo Nordisk by 2x

Sign in to set job alerts for “Legal Compliance Manager” roles. Legal and Compliance, Assistant Manager (40-50k)

Shenzhen, Guangdong, China CN¥18,000.00-CN¥28,000.00 1 year ago

Senior Legal Counsel, Director (Legal, Risk & Compliance Department)

We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.

#J-18808-Ljbffr
This advertiser has chosen not to accept applicants from your region.

Sr. Legal & Compliance Manager

Hong Kong, Hong Kong Novo Nordisk

Posted 3 days ago

Job Viewed

Tap Again To Close

Job Description

Join to apply for the Sr. Legal & Compliance Manager role at Novo Nordisk

4 days ago Be among the first 25 applicants

Join to apply for the Sr. Legal & Compliance Manager role at Novo Nordisk

Get AI-powered advice on this job and more exclusive features.

  • Ensure compliance with legal and regulatory requirements
  • Monitor and interpret relevant laws, regulations, and standards to ensure the organisation operates within legal boundaries;
  • Collaborate with departments to implement and audit compliance programs in line with global and local standards;
  • Design, test and monitor compliance control points within company SOPs; Streamline the global and local compliance frameworks to align with regulatory and ethical requirements in enhancing control effectiveness.
  • Provide legal counsel and support to HK business operations
  • Advise on corporate law, contracts, intellectual property, other business and commercial related legal matters (e.g. partnerships, joint ventures);
  • Support business transactions, negotiations, and dispute resolution processes;
  • Approve branded and unbranded materials.
  • Manage risk assessment and mitigation strategies
  • Conduct proactive compliance risk assessments and identify potential legal and compliance risks and develop strategies to address them;
  • Regularly review and update risk management plans to align with evolving regulations;
  • Lead cross-functional projects to optimize control setups for compliance risk mitigation and business effectiveness;
  • Ensure that local law and global TEN requirements are reflected in local compliance templates and materials.
  • Oversee internal audits and reporting processes
  • Conduct and utilize various auditing approach to evaluate adherence to legal and compliance standards as well as policy execution;
  • Prepare and present reports on audit findings to enhance internal control and recommend corrective actions;
  • Maintain regular communication and strong relationships with internal stakeholders, including the Compliance office of Region China, GIA, and Risk office
  • Oversee the GIA BE compliance audit and implement action plans for audit findings.
  • Local data protection responsibilities
  • Maintain and update personal data overviews in compliance with local laws and global standards;
  • Cascade communications from the Data Protection Office (DPO) and facilitate knowledge sharing;
  • Assess risks associated with personal data processing and advise on related issues;
  • Support the DPO in responding to data breaches and coordinate local responses per global plans; Assist the DPO in interactions with local Data Protection Authorities;
  • Create awareness around AI Ethics & Data Privacy requirements;
  • Advise affiliate on issues related to AI and Data Privacy;
  • Support with personal data breach mitigation and with data subject requests (DSR).
  • Foster ethical business practices across the organisation
  • Promote a culture of integrity and accountability through communication and leadership; Address ethical concerns and ensure alignment with the organisation’s values and policies;
  • Provide timely training on policy changes, competition law, risks, and procedural updates.
Novo Nordisk Hongkong (NNHK)
Location: Hongkong
The Position
  • Ensure compliance with legal and regulatory requirements
  • Monitor and interpret relevant laws, regulations, and standards to ensure the organisation operates within legal boundaries;
  • Collaborate with departments to implement and audit compliance programs in line with global and local standards;
  • Design, test and monitor compliance control points within company SOPs; Streamline the global and local compliance frameworks to align with regulatory and ethical requirements in enhancing control effectiveness.
  • Provide legal counsel and support to HK business operations
  • Advise on corporate law, contracts, intellectual property, other business and commercial related legal matters (e.g. partnerships, joint ventures);
  • Support business transactions, negotiations, and dispute resolution processes;
  • Approve branded and unbranded materials.
  • Manage risk assessment and mitigation strategies
  • Conduct proactive compliance risk assessments and identify potential legal and compliance risks and develop strategies to address them;
  • Regularly review and update risk management plans to align with evolving regulations;
  • Lead cross-functional projects to optimize control setups for compliance risk mitigation and business effectiveness;
  • Ensure that local law and global TEN requirements are reflected in local compliance templates and materials.
  • Oversee internal audits and reporting processes
  • Conduct and utilize various auditing approach to evaluate adherence to legal and compliance standards as well as policy execution;
  • Prepare and present reports on audit findings to enhance internal control and recommend corrective actions;
  • Maintain regular communication and strong relationships with internal stakeholders, including the Compliance office of Region China, GIA, and Risk office
  • Oversee the GIA BE compliance audit and implement action plans for audit findings.
  • Local data protection responsibilities
  • Maintain and update personal data overviews in compliance with local laws and global standards;
  • Cascade communications from the Data Protection Office (DPO) and facilitate knowledge sharing;
  • Assess risks associated with personal data processing and advise on related issues;
  • Support the DPO in responding to data breaches and coordinate local responses per global plans; Assist the DPO in interactions with local Data Protection Authorities;
  • Create awareness around AI Ethics & Data Privacy requirements;
  • Advise affiliate on issues related to AI and Data Privacy;
  • Support with personal data breach mitigation and with data subject requests (DSR).
  • Foster ethical business practices across the organisation
  • Promote a culture of integrity and accountability through communication and leadership; Address ethical concerns and ensure alignment with the organisation’s values and policies;
  • Provide timely training on policy changes, competition law, risks, and procedural updates.
Qualifications
  • Bachelor’s degree in Law or related discipline, with relevant professional certification is preferred.
  • Qualified lawyer in Hong Kong with practicing certificate; having PRC legal background and/or holding a PRC legal qualification is preferable.
  • Minimum 3-5 years of post-qualification legal/compliance work experience, preferably gained from life sciences, healthcare, consumer healthcare, nutrition sectors.
  • Experience in working in multinational pharmaceutical company is highly preferred.
  • Fluency in both written & spoken English and Chinese (both Cantonese and Mandarin).
  • Strong legal acumen with sound knowledge in legal principles, corporate law, and regulatory frameworks.
  • Proven leadership capabilities, with effective stakeholders’ management skills and be able to communicate with internal and external parties at all levels effectively.
  • Demonstrated high adaptability in changing priorities and meeting tight deadlines.
  • Ability to work in a fast-paced and dynamic environment independently.
  • Agile, flexible, energetic, reliable, trust-worthy, team player.
We commit to an inclusive recruitment process and equality of opportunity for all our job applicants.
We’re not your typical healthcare company. In a modern world of quick fixes, we focus on solutions to defeat serious chronic diseases and promote long-term health. Our unordinary mindset is at the heart of everything we do. We seek out new ideas and put people first as we push the boundaries of science, make healthcare more accessible, and treat, prevent, and even cure diseases that affect millions of lives. Because it takes an unordinary approach to drive real, lasting change in health.Seniority level
  • Seniority level Not Applicable
Employment type
  • Employment type Full-time
Job function
  • Job function Legal
  • Industries Pharmaceutical Manufacturing

Referrals increase your chances of interviewing at Novo Nordisk by 2x

Sign in to set job alerts for “Legal Compliance Manager” roles. Legal and Compliance, Assistant Manager (40-50k)

Shenzhen, Guangdong, China CN¥18,000.00-CN¥28,000.00 1 year ago

Senior Legal Counsel, Director (Legal, Risk & Compliance Department)

We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.

#J-18808-Ljbffr
This advertiser has chosen not to accept applicants from your region.
 

Nearby Locations

Other Jobs Near Me

Industry

  1. request_quote Accounting
  2. work Administrative
  3. eco Agriculture Forestry
  4. smart_toy AI & Emerging Technologies
  5. school Apprenticeships & Trainee
  6. apartment Architecture
  7. palette Arts & Entertainment
  8. directions_car Automotive
  9. flight_takeoff Aviation
  10. account_balance Banking & Finance
  11. local_florist Beauty & Wellness
  12. restaurant Catering
  13. volunteer_activism Charity & Voluntary
  14. science Chemical Engineering
  15. child_friendly Childcare
  16. foundation Civil Engineering
  17. clean_hands Cleaning & Sanitation
  18. diversity_3 Community & Social Care
  19. construction Construction
  20. brush Creative & Digital
  21. currency_bitcoin Crypto & Blockchain
  22. support_agent Customer Service & Helpdesk
  23. medical_services Dental
  24. medical_services Driving & Transport
  25. medical_services E Commerce & Social Media
  26. school Education & Teaching
  27. electrical_services Electrical Engineering
  28. bolt Energy
  29. local_mall Fmcg
  30. gavel Government & Non Profit
  31. emoji_events Graduate
  32. health_and_safety Healthcare
  33. beach_access Hospitality & Tourism
  34. groups Human Resources
  35. precision_manufacturing Industrial Engineering
  36. security Information Security
  37. handyman Installation & Maintenance
  38. policy Insurance
  39. code IT & Software
  40. gavel Legal
  41. sports_soccer Leisure & Sports
  42. inventory_2 Logistics & Warehousing
  43. supervisor_account Management
  44. supervisor_account Management Consultancy
  45. supervisor_account Manufacturing & Production
  46. campaign Marketing
  47. build Mechanical Engineering
  48. perm_media Media & PR
  49. local_hospital Medical
  50. local_hospital Military & Public Safety
  51. local_hospital Mining
  52. medical_services Nursing
  53. local_gas_station Oil & Gas
  54. biotech Pharmaceutical
  55. checklist_rtl Project Management
  56. shopping_bag Purchasing
  57. home_work Real Estate
  58. person_search Recruitment Consultancy
  59. store Retail
  60. point_of_sale Sales
  61. science Scientific Research & Development
  62. wifi Telecoms
  63. psychology Therapy
  64. pets Veterinary
View All Compliance Jobs