179 Compliance Specialist jobs in Hong Kong

• Review CDD cases and relevant KYC documents;
• Participate in the maturity of the Financial Intelligence Unit investigative and reporting capabilities;
• Actively review inbound unusual activity alerts to determine whether further investigation is required;
• Perform deep level analysis on activity requiring further investigation;
• Prepare suspicious activity / transaction reports for filing to external FIU;
• Provide advice to frontline and other relevant units onAMLrelated matters;

What you’ll need:

• Bachelor's Degree holder
• At least 2 years of experience inAMLfunctions within securities brokerage industry.
• Possess good knowledge of local regulatory (SFC) requirements.
• Proficient in Google Workspace, MS Excel & MS Office and monitoring system such asLexisNexis and NICE Actimize
• Proficient in both spoken and written English and Chinese;
• Analytical, independent, detail-minded with good problem-solving, communication, organizational and interpersonal skills;

Nice to have:

• Holder of relevant industry qualification

• Seniority level Entry level

• Employment type Full-time

• Job function Finance and Sales

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

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• 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

• 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

• American-style Employee Stock Option Scheme
• Negotiable salary based on experience
• Bonuses paid on top of indicated salary

• Seniority level: Entry level
• Employment type: Full-time
• Job function: Legal

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.

• 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

• 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

• American-style Employee Stock Option Scheme
• Negotiable salary based on experience
• Bonuses paid on top of indicated salary

• Seniority level: Entry level
• Employment type: Full-time
• Job function: Legal

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• Follow up on outstanding or past due orders with the factory using GPS report
• Communicate closely with the equipment factory to verify cargo ready dates and resolve issues like late SI dates, late bookings, and missing closing dates
• Approve SI comments and coordinate vendor bookings
• Monitor system activities, such as ASN and e-document creation
• Manage PO confirmations and process order-related amendments like shortages, vendor amendments, order changes, and ship mode changes
• Provide regular KPI reports on delivery performance and other related metrics, ensuring accuracy with the Licensee factory
• Document shortages and operational violations in the Vendor issue log

Operations Management:

• Monitor operations performance daily and enforce NB policy in line with the PO Management Manual
• Resolve problematic cases and address factory inquiries related to NB requirements and operations procedures
• Report instances of factory non-compliance to management
• Assist senior management in monitoring factories for potential Corrective Action Plans (CAPs) for problematic cases
• Conduct regular weekly meetings with vendors
• Conduct training for the new or problematic vendors

Requirements:

• 1-2 years of experience in order processing or customer service
• Strong attention to detail and accuracy
• Customer-focused with excellent communication skills, both written and verbal
• Ability to prioritize and multitask in a fast-paced environment
• Proficient in Microsoft Office
• Experience with ERP systems (such as SAP) is a plus
• Fresh Graduate with bachelor’s degree in business related major are welcome

Equal Opportunity Employer:

New Balance is committed to equality of opportunity for all current and prospective associates regardless of age, disability, race, religion or belief, gender, sexual orientation, pregnancy and maternity, marriage and civil partnership and gender reassignment. We are an equal opportunity employer and support a culture of diversity and inclusion.

• Seniority level Entry level

• Employment type Full-time

• Job function Other
• Industries Sporting Goods Manufacturing

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Kowloon City District, Hong Kong SAR 1 month ago

Kwun Tong District, Hong Kong SAR 1 year ago

Kowloon City District, Hong Kong SAR 1 week ago

Kowloon City District, Hong Kong SAR 3 days ago

Kwun Tong District, Hong Kong SAR 1 day ago

Kwun Tong District, Hong Kong SAR 9 hours ago

Kwun Tong District, Hong Kong SAR 1 year ago

Kwun Tong District, Hong Kong SAR 2 months ago

Kwun Tong District, Hong Kong SAR 1 month ago

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Join to apply for the Assistant Vice President, FCP Compliance Specialist role at MUFG

Join to apply for the Assistant Vice President, FCP Compliance Specialist role at MUFG

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

Do you want your voice heard and your actions to count?

Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), one of the world’s leading financial groups. Across the globe, we’re 120,000 colleagues, striving to make a difference for every client, organization, and community we serve. We stand for our values, building long-term relationships, serving society, and fostering shared and sustainable growth for a better world.

With a vision to be the world’s most trusted financial group, it’s part of our culture to put people first, listen to new and diverse ideas and collaborate toward greater innovation, speed and agility. This means investing in talent, technologies, and tools that empower you to own your career.

Join MUFG, where being inspired is expected and making a meaningful impact is rewarded.

Main Purpose of Role:

To assist Asia Chief Compliance Officer / MLRO with compliance matters including AML/KYC due diligence, updates on regulations/regulatory issues on AML and KYC, compliance training, establish/update compliance policies and procedures, and advisory.

Principal Duties:

• AML/KYC due diligence including quality assurance, quality controls, maintenance of PEP Register, Black and Sanction Lists
• Keep updated on developments on sanctions, embargoes and related KYC/AML laws and regulations
• Assist the MLRO in the reviewing and reporting of suspicious transactions and responding to Requests for Information and submissions
• Update on regulations/ regulatory issues on timely basis
• Establish/update compliance policies and procedures align with MUFG group standards
• Gather and collate key reporting information for Asia Chief Compliance Officer
• Update training materials, conduct training, update records, and monitor compliance
• Advice business/ support units on compliance matters/ issues as required.
• Maintain compliance databases and records
• Any other assignment as assigned by Asia Chief Compliance Officer
• To comply with all relevant regulations and applicable MUFG group policies.
  
  

• Comply with, and ensure all staff in the Department/on the Desk comply with, the Company’s policies and procedures as well as all rules and laws emanating from the Company’s direct Regulator or any other regulatory authority relevant to the business being conducted including, but not limited to, the MAS, the HK SFC, SEHK Regulations and FCA.
  
  

• At least 5+ years of relevant experience within financial crime compliance, ideally in multiple key APAC markets (Hong Kong, Singapore, Australia and Japan).
• A good understanding of the key regulatory risk drivers, and supervisory priorities for regulators across APAC.
• Competent in interpretation and execution of Hong Kong and International AML laws, regulations and requirements.
• Good understanding of the banking and securities industry and products
• A proven track record of independent working as a strong self-starter.
• Flawless English language ability as a mandatory requirement.
  
  

• Seniority level Mid-Senior level

• Employment type Full-time

• Job function Legal
• Industries Financial Services and Banking

Referrals increase your chances of interviewing at MUFG by 2x

Get notified about new Assistant Vice President Compliance jobs in Hong Kong SAR .

Hong Kong, Hong Kong SAR $36,000.00-$0,000.00 1 month ago

Hong Kong, Hong Kong SAR HK$1 000,000.00-HK 1,000,000.00 3 weeks ago

Wan Chai District, Hong Kong SAR 2 days ago

Hong Kong, Hong Kong SAR HK$1 000,000.00-HK 1,000,000.00 1 week ago

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• Follow up on outstanding or past due orders with the factory using GPS report
• Communicate closely with the equipment factory to verify cargo ready dates and resolve issues like late SI dates, late bookings, and missing closing dates
• Approve SI comments and coordinate vendor bookings
• Monitor system activities, such as ASN and e-document creation
• Manage PO confirmations and process order-related amendments like shortages, vendor amendments, order changes, and ship mode changes
• Provide regular KPI reports on delivery performance and other related metrics, ensuring accuracy with the Licensee factory
• Document shortages and operational violations in the Vendor issue log

Operations Management:

• Monitor operations performance daily and enforce NB policy in line with the PO Management Manual
• Resolve problematic cases and address factory inquiries related to NB requirements and operations procedures
• Report instances of factory non-compliance to management
• Assist senior management in monitoring factories for potential Corrective Action Plans (CAPs) for problematic cases
• Conduct regular weekly meetings with vendors
• Conduct training for the new or problematic vendors

Requirements:

• 1-2 years of experience in order processing or customer service
• Strong attention to detail and accuracy
• Customer-focused with excellent communication skills, both written and verbal
• Ability to prioritize and multitask in a fast-paced environment
• Proficient in Microsoft Office
• Experience with ERP systems (such as SAP) is a plus
• Fresh Graduate with bachelor’s degree in business related major are welcome

Equal Opportunity Employer:

New Balance is committed to equality of opportunity for all current and prospective associates regardless of age, disability, race, religion or belief, gender, sexual orientation, pregnancy and maternity, marriage and civil partnership and gender reassignment. We are an equal opportunity employer and support a culture of diversity and inclusion.

• Seniority level Entry level

• Employment type Full-time

• Job function Other
• Industries Sporting Goods Manufacturing

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Kowloon City District, Hong Kong SAR 1 month ago

Kwun Tong District, Hong Kong SAR 1 year ago

Kowloon City District, Hong Kong SAR 1 week ago

Kowloon City District, Hong Kong SAR 3 days ago

Kwun Tong District, Hong Kong SAR 1 day ago

Kwun Tong District, Hong Kong SAR 9 hours ago

Kwun Tong District, Hong Kong SAR 1 year ago

Kwun Tong District, Hong Kong SAR 2 months ago

Kwun Tong District, Hong Kong SAR 1 month ago

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Join to apply for the Assistant Vice President, FCP Compliance Specialist role at MUFG

Join to apply for the Assistant Vice President, FCP Compliance Specialist role at MUFG

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

Do you want your voice heard and your actions to count?
Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), one of the world’s leading financial groups. Across the globe, we’re 120,000 colleagues, striving to make a difference for every client, organization, and community we serve. We stand for our values, building long-term relationships, serving society, and fostering shared and sustainable growth for a better world.
With a vision to be the world’s most trusted financial group, it’s part of our culture to put people first, listen to new and diverse ideas and collaborate toward greater innovation, speed and agility. This means investing in talent, technologies, and tools that empower you to own your career.
Join MUFG, where being inspired is expected and making a meaningful impact is rewarded.
Main Purpose of Role:
To assist Asia Chief Compliance Officer / MLRO with compliance matters including AML/KYC due diligence, updates on regulations/regulatory issues on AML and KYC, compliance training, establish/update compliance policies and procedures, and advisory.
Principal Duties:

• AML/KYC due diligence including quality assurance, quality controls, maintenance of PEP Register, Black and Sanction Lists
• Keep updated on developments on sanctions, embargoes and related KYC/AML laws and regulations
• Assist the MLRO in the reviewing and reporting of suspicious transactions and responding to Requests for Information and submissions
• Update on regulations/ regulatory issues on timely basis
• Establish/update compliance policies and procedures align with MUFG group standards
• Gather and collate key reporting information for Asia Chief Compliance Officer
• Update training materials, conduct training, update records, and monitor compliance
• Advice business/ support units on compliance matters/ issues as required.
• Maintain compliance databases and records
• Any other assignment as assigned by Asia Chief Compliance Officer
• To comply with all relevant regulations and applicable MUFG group policies.
  

• Comply with, and ensure all staff in the Department/on the Desk comply with, the Company’s policies and procedures as well as all rules and laws emanating from the Company’s direct Regulator or any other regulatory authority relevant to the business being conducted including, but not limited to, the MAS, the HK SFC, SEHK Regulations and FCA.
  

• At least 5+ years of relevant experience within financial crime compliance, ideally in multiple key APAC markets (Hong Kong, Singapore, Australia and Japan).
• A good understanding of the key regulatory risk drivers, and supervisory priorities for regulators across APAC.
• Competent in interpretation and execution of Hong Kong and International AML laws, regulations and requirements.
• Good understanding of the banking and securities industry and products
• A proven track record of independent working as a strong self-starter.
• Flawless English language ability as a mandatory requirement.
  

• Seniority level Mid-Senior level

• Employment type Full-time

• Job function Legal
• Industries Financial Services and Banking

Referrals increase your chances of interviewing at MUFG by 2x

Get notified about new Assistant Vice President Compliance jobs in Hong Kong SAR .

Hong Kong, Hong Kong SAR $36,000.00-$0,000.00 1 month ago

Hong Kong, Hong Kong SAR HK$1 000,000.00-HK 1,000,000.00 3 weeks ago

Wan Chai District, Hong Kong SAR 2 days ago

Hong Kong, Hong Kong SAR HK$1 000,000.00-HK 1,000,000.00 1 week ago

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Join to apply for the Transaction Compliance Specialist - (Hybrid from Hong Kong) role at eXp Hong Kong

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1 week ago Be among the first 25 applicants

Join to apply for the Transaction Compliance Specialist - (Hybrid from Hong Kong) role at eXp Hong Kong

This role is hybrid work from home/onsite in Hong Kong. To be considered, candidates should be based in Hong Kong and have the rights to work locally.

Who is eXp?

Doing the audacious is part of eXp Realty’s DNA. We are a company that rewards creative minds who can offer bold solutions, where opinions matter, anything is possible and the outcome can be revolutionary. As a global full-service real estate brokerage utilizing a 3-D, fully immersive, cloud office environment, offering 24/7 access to collaborative tools & training, eXp has broken the traditional mold of real estate. We are doing big things.

Come join us at eXp Realty – an 8x Glassdoor Best Places to Work organization!

What you will do:

The Transaction Compliance Specialist plays a critical role in coordinating and managing the flow of real estate transaction documentation. This position requires keen attention to detail, exceptional organizational skills, and the ability to ensure accuracy in contract processing. The ideal candidate will oversee the transaction lifecycle from initial entry to closing, ensuring all required documents are accurately processed, tracked, and reported.

Key responsibilities:

• Review, verify, and manage transaction documents with accuracy and compliance.
• Search listing files for necessary contract documentation.
• Ensure all required documentation is uploaded and maintained within the system.
• Follow transaction procedures as outlined by the Team Lead.
• Enter transaction details and updates into appropriate platforms.
• Confirm commission details with brokerages and ensure accurate payments.
• Coordinate with agents, brokers, and legal representatives to complete transaction documentation.
• Track and report outstanding contract issues, following up as necessary.
• Generate and distribute transaction reports, including weekly/monthly contract closures and outstanding items.
• Assist in the creation of invoices for payments.
• Prepare and submit weekly flash reports detailing sales and listings.
• Educate agents on how to use the local transaction platform efficiently.
• Address and resolve HubSpot tickets in a timely manner.
• Support internal communications, including contributions to the monthly newsletter.
  
  

• Minimum 1+ year of experience in real estate transaction processing or a related field.
• Strong knowledge of real estate transaction documentation and compliance (required).
• Familiarity with local real estate regulations and EAA guidelines is a plus.
  
  

• Proficiency in Microsoft Excel and real estate transaction platforms.
• Strong data entry skills with a high level of accuracy.
• Experience with CRM tools and document management systems (e.g., HubSpot).
  
  

• Strong communication and organizational skills. Spoken and written proficiency in both Chinese (Cantonese) and English is required.
• Detail-oriented, highly organized, and task-driven.
• Strong interpersonal skills, with the ability to build and maintain relationships with agents, brokers, and legal professionals.
• Ability to multitask and work efficiently under time constraints.
• Dependable, trustworthy, and committed to maintaining confidentiality.
  
  

• Seniority level Entry level

• Employment type Contract

• Job function Accounting/Auditing and Finance

Referrals increase your chances of interviewing at eXp Hong Kong by 2x

Get notified about new Transaction Specialist jobs in Hong Kong SAR .

Hong Kong SAR
HK 12,000.00
-
HK 13,999.00
4 months ago

Hong Kong SAR
HK 12,000.00
-
HK 13,999.00
5 days ago

Sha Tin District, Hong Kong SAR 3 days ago

Hong Kong SAR
HK 14,000.00
-
HK 18,000.00
5 months ago

Sha Tin District, Hong Kong SAR 1 week ago

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