291 Compliance Trainee jobs in Hong Kong
AML Compliance, VP/AVP
Posted 10 days ago
Job Viewed
Job Description
Join to apply for the AML Compliance, VP/AVP role at ConnectedGroup
Join to apply for the AML Compliance, VP/AVP role at ConnectedGroup
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Direct message the job poster from ConnectedGroup
Recruiting Middle-back-Office professionals within the Financial Services IndustryWe are assisting a major international bank in search of an expert in AML compliance. This person leads the development, oversight, and continuous enhancement of AML/CFT and sanctions compliance frameworks, providing expert advisory, monitoring, and training to ensure regulatory adherence and mitigate financial crime risks within the organization.
Job Duties & Responsibilities:
- Policy Oversight & Development : Assist compliance management in overseeing control measures per internal policies; review and enhance AML/CFT systems to ensure regulatory compliance.
- Advisory & Risk Assessment : Provide compliance advice on AML/CFT and sanctions matters, including high-risk transactions, alerts, transaction filtering (TF), and transaction monitoring (TM).
- Policy Maintenance : Update AML/CFT/Sanctions policies in line with regional and head office guidelines and legal requirements.
- Monitoring & Reporting : Detect suspicious transactions, prepare suspicious transaction reports (STRs), review internal disclosures, and determine reporting obligations.
- Testing & Controls : Conduct testing and monitoring of AML/CFT/Sanctions systems; manage regulatory reporting and initiatives.
- Training & Awareness : Promote AML/sanctions policies and deliver regular training to staff.
- Sanctions Compliance : Monitor sanctions program implementation and manage remediation of exceptions.
- Ad Hoc Projects : Support compliance management with special projects and initiatives.
Requirements:
- Education & Certification : Degree holder with qualifications in law, audit, banking, or equivalent. Certified AML/Sanctions professional (e.g., CAMS, CAMLP, AAMLCP).
- Experience : 6-10 years in AML/CFT/Sanctions compliance or financial crime investigation. AVP level may be considered for less experienced candidates.
- Knowledge & Skills :
- Strong understanding of AML/CFT/Sanctions laws and banking products.
- Analytical and problem-solving skills.
- Ability to work independently and under pressure.
- Proficiency in English and Chinese.
- Strong PC skills and familiarity with AML systems/tools.
- Seniority level Executive
- Employment type Full-time
- Job function Accounting/Auditing
- Industries Banking
Referrals increase your chances of interviewing at ConnectedGroup by 2x
Get notified about new Vice President Compliance jobs in Hong Kong, Hong Kong SAR .
Vice President, Product Compliance (Corporate Banking) GM/ALM-T Transversal Compliance Officer - Regulatory reporting Vice President, Legal, Corporate Secretary (Bank) Vice President, Asset Servicing In-Business Risk & Control Senior Manager AsiaKowloon City District, Hong Kong SAR 2 weeks ago
Senior Manager / Assistant Vice President Engineering (Asst) Vice President, Portfolio Management & Risk Analytics (Personal Banking) AVP, Quantitative Risk Methodology & Governance Vice President, Cybersecurity Risk Lead, Asia Pacific Assistant Vice President, Business Compliance & Operational Risk Vice President - Regulatory Compliance & Licensing Vice President, Licensing, Compliance Department Hong Kong Vice President/ Assistant Vice President, Risk and Control, Institutional Banking Operations Risk, Operational Risk, Vice President, Hong Kong Assistant Vice President - Data Governance and Compliance VP, Counterparty Credit & Clearing Risk, Prime Brokerage, Hedge Funds & FIs Vice President, Credit Policy and Portfolio Management (Unsecured Lending), Risk Management Group AVP, Enterprise & Financial Risk, Group Risk & ComplianceWe’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.
#J-18808-LjbffrAML Compliance, Senior Manager
Posted 10 days ago
Job Viewed
Job Description
Job Purpose & Objectives
• Assist and support business management in identifying, assessing, measuring and mitigating compliance risks.
• Provide reasonable assurance that the Bank and its employees comply with applicable laws, regulations, internal rules and ethical standards within the context of corporate governance.
• Handle regulatory issues related to business partners and ensure appropriate management escalation.
• Manage relationship and develop mutual understanding with the regulators and monitoring authorities with respect to compliance matters.
• Work closely with business partners to broaden and deepen their knowledge and behaviour on business and industry specific regulatory requirements.
Key Responsibilities
• Provide advice and support to the business units and management with regard to potential regulatory impacts of relevant laws, rules, regulations and guidelines.
• Participate in reviewing new business/new product initiatives and provide compliance input to ensure compliance with applicable regulatory requirements and internal policies.
• Provide advice on KYC documentation and transactions screening, and monitor transaction alerts to ensure compliance with relevant anti-money laundering and sanction regulations.
• Prepare and update policies and procedures in line with Group Policy and with regard to local laws, rules, regulations and guidelines.
• Conduct compliance induction to new joiners and provide trainings to relevant staff on changes and development of laws, rules, regulations and guidelines.
• Ensure business activities are properly licensed and all relevant staff are properly registered with regulators as appropriate.
• Monitor key compliance issues and ensure prompt escalation to senior management or designated committee.
• Liaise with relevant regulators for any regulatory enquires and compliance related issues.
• Assist in regulatory reviews conducted by regulators and help prepare regulatory reporting, filings and self-assessments as required.
• Perform compliance review on business units in accordance with the standards and guidelines contained in the compliance monitoring plan.
• Assist in any other ad hoc projects.
Job Specifications
Qualification & Experience
• Degree holder in Finance, Accounting or Laws
• At least 10 years’ experience in Banking and AML Compliance
Knowledge & Skills
• In-depth knowledge of regulatory and compliance requirements in relation to
banking business
• Well-versed with banking services and financial products
• PC literacy (Microsoft Office including word, excel and powerpoint)
Language
• Proficient in written and spoken English
• Proficient in written and spoken Chinese
Other Skills (e.g. Interpersonal, Communication etc)
• Strong interpersonal and communication skills
• Well-organized and meticulous in details
• Ability to work in a matrix reporting structure, multi-functional and cross-cultural environment
• Ability to work independently, self-motivated and be a team player
• Ability to work under pressure
Seniority level- Seniority level Mid-Senior level
- Employment type Full-time
- Job function Finance
- Industries Banking
Referrals increase your chances of interviewing at BBVA by 2x
Get notified about new Compliance Manager jobs in Hong Kong, Hong Kong SAR .
HEAD OF COMPLIANCE | REGIONAL BANK | INTERNATIONAL EXPANSIONCentral & Western District, Hong Kong SAR 2 months ago
Head of Compliance | Asset Management, Confidential Hire | HK$80-85K AVP, Compliance (Transformation, Digital & Corporate Services) Compliance & Conflicts Analyst, International Law Firm Compliance Senior Specialist-Hong Kong SAR Legal and Compliance, Assistant Manager (40-50k) 2025 Legal and Compliance Full-Time Analyst Program (Hong Kong) Senior Manager, Compliance Programs & OperationsEastern District, Hong Kong SAR 5 days ago
Associate Director / Manager - Investigation and Compliance Head of Compliance- Crypto payment startupWe’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.
#J-18808-LjbffrAML Compliance, Senior Manager
Posted 1 day ago
Job Viewed
Job Description
Job Purpose & Objectives
• Assist and support business management in identifying, assessing, measuring and mitigating compliance risks.
• Provide reasonable assurance that the Bank and its employees comply with applicable laws, regulations, internal rules and ethical standards within the context of corporate governance.
• Handle regulatory issues related to business partners and ensure appropriate management escalation.
• Manage relationship and develop mutual understanding with the regulators and monitoring authorities with respect to compliance matters.
• Work closely with business partners to broaden and deepen their knowledge and behaviour on business and industry specific regulatory requirements.
Key Responsibilities
• Provide advice and support to the business units and management with regard to potential regulatory impacts of relevant laws, rules, regulations and guidelines.
• Participate in reviewing new business/new product initiatives and provide compliance input to ensure compliance with applicable regulatory requirements and internal policies.
• Provide advice on KYC documentation and transactions screening, and monitor transaction alerts to ensure compliance with relevant anti-money laundering and sanction regulations.
• Prepare and update policies and procedures in line with Group Policy and with regard to local laws, rules, regulations and guidelines.
• Conduct compliance induction to new joiners and provide trainings to relevant staff on changes and development of laws, rules, regulations and guidelines.
• Ensure business activities are properly licensed and all relevant staff are properly registered with regulators as appropriate.
• Monitor key compliance issues and ensure prompt escalation to senior management or designated committee.
• Liaise with relevant regulators for any regulatory enquires and compliance related issues.
• Assist in regulatory reviews conducted by regulators and help prepare regulatory reporting, filings and self-assessments as required.
• Perform compliance review on business units in accordance with the standards and guidelines contained in the compliance monitoring plan.
• Assist in any other ad hoc projects.
Job Specifications
Qualification & Experience
• Degree holder in Finance, Accounting or Laws
• At least 10 years’ experience in Banking and AML Compliance
Knowledge & Skills
• In-depth knowledge of regulatory and compliance requirements in relation to
banking business
• Well-versed with banking services and financial products
• PC literacy (Microsoft Office including word, excel and powerpoint)
Language
• Proficient in written and spoken English
• Proficient in written and spoken Chinese
Other Skills (e.g. Interpersonal, Communication etc)
• Strong interpersonal and communication skills
• Well-organized and meticulous in details
• Ability to work in a matrix reporting structure, multi-functional and cross-cultural environment
• Ability to work independently, self-motivated and be a team player
• Ability to work under pressure
Seniority level- Seniority level Mid-Senior level
- Employment type Full-time
- Job function Finance
- Industries Banking
Referrals increase your chances of interviewing at BBVA by 2x
Get notified about new Compliance Manager jobs in Hong Kong, Hong Kong SAR .
HEAD OF COMPLIANCE | REGIONAL BANK | INTERNATIONAL EXPANSIONCentral & Western District, Hong Kong SAR 2 months ago
Head of Compliance | Asset Management, Confidential Hire | HK$80-85K AVP, Compliance (Transformation, Digital & Corporate Services) Compliance & Conflicts Analyst, International Law Firm Compliance Senior Specialist-Hong Kong SAR Legal and Compliance, Assistant Manager (40-50k) 2025 Legal and Compliance Full-Time Analyst Program (Hong Kong) Senior Manager, Compliance Programs & OperationsEastern District, Hong Kong SAR 5 days ago
Associate Director / Manager - Investigation and Compliance Head of Compliance- Crypto payment startupWe’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.
#J-18808-LjbffrAML Compliance, VP/AVP
Posted 2 days ago
Job Viewed
Job Description
Join to apply for the AML Compliance, VP/AVP role at ConnectedGroup
Join to apply for the AML Compliance, VP/AVP role at ConnectedGroup
Get AI-powered advice on this job and more exclusive features.
Direct message the job poster from ConnectedGroup
Recruiting Middle-back-Office professionals within the Financial Services IndustryWe are assisting a major international bank in search of an expert in AML compliance. This person leads the development, oversight, and continuous enhancement of AML/CFT and sanctions compliance frameworks, providing expert advisory, monitoring, and training to ensure regulatory adherence and mitigate financial crime risks within the organization.
Job Duties & Responsibilities:
- Policy Oversight & Development : Assist compliance management in overseeing control measures per internal policies; review and enhance AML/CFT systems to ensure regulatory compliance.
- Advisory & Risk Assessment : Provide compliance advice on AML/CFT and sanctions matters, including high-risk transactions, alerts, transaction filtering (TF), and transaction monitoring (TM).
- Policy Maintenance : Update AML/CFT/Sanctions policies in line with regional and head office guidelines and legal requirements.
- Monitoring & Reporting : Detect suspicious transactions, prepare suspicious transaction reports (STRs), review internal disclosures, and determine reporting obligations.
- Testing & Controls : Conduct testing and monitoring of AML/CFT/Sanctions systems; manage regulatory reporting and initiatives.
- Training & Awareness : Promote AML/sanctions policies and deliver regular training to staff.
- Sanctions Compliance : Monitor sanctions program implementation and manage remediation of exceptions.
- Ad Hoc Projects : Support compliance management with special projects and initiatives.
Requirements:
- Education & Certification : Degree holder with qualifications in law, audit, banking, or equivalent. Certified AML/Sanctions professional (e.g., CAMS, CAMLP, AAMLCP).
- Experience : 6-10 years in AML/CFT/Sanctions compliance or financial crime investigation. AVP level may be considered for less experienced candidates.
- Knowledge & Skills :
- Strong understanding of AML/CFT/Sanctions laws and banking products.
- Analytical and problem-solving skills.
- Ability to work independently and under pressure.
- Proficiency in English and Chinese.
- Strong PC skills and familiarity with AML systems/tools.
- Seniority level Executive
- Employment type Full-time
- Job function Accounting/Auditing
- Industries Banking
Referrals increase your chances of interviewing at ConnectedGroup by 2x
Get notified about new Vice President Compliance jobs in Hong Kong, Hong Kong SAR .
Vice President, Product Compliance (Corporate Banking) GM/ALM-T Transversal Compliance Officer - Regulatory reporting Vice President, Legal, Corporate Secretary (Bank) Vice President, Asset Servicing In-Business Risk & Control Senior Manager AsiaKowloon City District, Hong Kong SAR 2 weeks ago
Senior Manager / Assistant Vice President Engineering (Asst) Vice President, Portfolio Management & Risk Analytics (Personal Banking) AVP, Quantitative Risk Methodology & Governance Vice President, Cybersecurity Risk Lead, Asia Pacific Assistant Vice President, Business Compliance & Operational Risk Vice President - Regulatory Compliance & Licensing Vice President, Licensing, Compliance Department Hong Kong Vice President/ Assistant Vice President, Risk and Control, Institutional Banking Operations Risk, Operational Risk, Vice President, Hong Kong Assistant Vice President - Data Governance and Compliance VP, Counterparty Credit & Clearing Risk, Prime Brokerage, Hedge Funds & FIs Vice President, Credit Policy and Portfolio Management (Unsecured Lending), Risk Management Group AVP, Enterprise & Financial Risk, Group Risk & ComplianceWe’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.
#J-18808-Ljbffr(Senior) Manager, Business Compliance (AML / Compliance, Private Banking)
Posted 10 days ago
Job Viewed
Job Description
Join to apply for the (Senior) Manager, Business Compliance (AML / Compliance, Private Banking) role at Bank of China (Hong Kong)
(Senior) Manager, Business Compliance (AML / Compliance, Private Banking)1 week ago Be among the first 25 applicants
Join to apply for the (Senior) Manager, Business Compliance (AML / Compliance, Private Banking) role at Bank of China (Hong Kong)
Direct message the job poster from Bank of China (Hong Kong)
- Act as first line of defense to conduct AML/Financial Crime/ Fraud risk related transaction monitoring and business review to ensure adherence to internal/external requirements, identify possible AML/Financial Crime/ Fraud risks, prepare management report(s) and provide recommendations to mitigate relevant risks.
- Review KYC profiles, account opening / review documents.
- Conduct AML/Financial Crime/ Fraud risk related periodic and ad hoc monitoring/transaction review.
- Work closely with business and second line of defense to implement regulatory and internal requirements on the private banking business.
- Conduct regular and ad hoc self-assessment, gap analysis, survey, independent review against various AML related internal and/or regulatory requirements. Recommend follow up action to close the gaps where applicable.
- Prepare regular (monthly/quarterly/annually) and ad hoc internal reporting to senior management, second line of defense.
- Assist to conduct training to promote compliance culture.
- Assist to investigate suspicious transaction.
- Work on regulatory reporting matters, internal / external review or audit including coordinate with other departments, prepare response and carry out the relevant enhancements.
- Provide staff training where required.
- Assist on other ad hoc tasks as assigned.
- Act as first line of defense to conduct AML/Financial Crime/ Fraud risk related transaction monitoring and business review to ensure adherence to internal/external requirements, identify possible AML/Financial Crime/ Fraud risks, prepare management report(s) and provide recommendations to mitigate relevant risks.
- Review KYC profiles, account opening / review documents.
- Conduct AML/Financial Crime/ Fraud risk related periodic and ad hoc monitoring/transaction review.
- Work closely with business and second line of defense to implement regulatory and internal requirements on the private banking business.
- Conduct regular and ad hoc self-assessment, gap analysis, survey, independent review against various AML related internal and/or regulatory requirements. Recommend follow up action to close the gaps where applicable.
- Prepare regular (monthly/quarterly/annually) and ad hoc internal reporting to senior management, second line of defense.
- Assist to conduct training to promote compliance culture.
- Assist to investigate suspicious transaction.
- Work on regulatory reporting matters, internal / external review or audit including coordinate with other departments, prepare response and carry out the relevant enhancements.
- Provide staff training where required.
- Assist on other ad hoc tasks as assigned.
- Degree or above.
- 5 years working experience in banking and finance, of which 2 years in relevant private banking AML Compliance. Strong AML knowledge is an advantage.
- Independent, excellent analytical, time management and interpersonal skills, with ability to prioritize tasks.
- Proficient in written, spoken English AND Chinese.
- Familiar with HKMA/SFC regulatory requirements.
Seniority level
- Seniority level Not Applicable
- Employment type Full-time
- Job function Business Development
- Industries Banking, Capital Markets, and Financial Services
Referrals increase your chances of interviewing at Bank of China (Hong Kong) by 2x
Get notified about new Senior Compliance Manager jobs in Hong Kong SAR .
Associate Director, Data Security and Compliance Assistant Claims Services Manager (P&C Claims, Commercial and Financial) Business Strategy Manager (Contact Centre, CSM, Compliance Management) APAC Compliance Manager - Asset Management Senior Manager / Manager - Compliance & Quality Assurance (Complaint Handling) JAPANESE SPEAKING CORPORATE SUPPORT OFFICER (30k-32k x 13) - corporate governance / compliance / internal control / legal support (Tsuen Wan) Associate Director / Manager - Investigation and Compliance Business Compliance and Operational Risk Manager -Thematic Review (BRCM) Virtual Assets & Crypto Products Compliance Director VP, Compliance Officer – Asset Management Senior Project Manager - Finance Systems (Banking) Associate Director, Cloud and Infrastructure Compliance Internal Legal Compliance Officer (Hong Kong) Senior Regulatory Compliance Manager (Private Banking) Senior Compliance Manager, Equities Compliance, Compliance General Manager, Social Compliance, HardgoodsWe’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.
#J-18808-Ljbffr(Senior) Manager, Business Compliance (AML / Compliance, Private Banking)
Posted 24 days ago
Job Viewed
Job Description
Join to apply for the (Senior) Manager, Business Compliance (AML / Compliance, Private Banking) role at Bank of China (Hong Kong)
(Senior) Manager, Business Compliance (AML / Compliance, Private Banking)1 week ago Be among the first 25 applicants
Join to apply for the (Senior) Manager, Business Compliance (AML / Compliance, Private Banking) role at Bank of China (Hong Kong)
Direct message the job poster from Bank of China (Hong Kong)
- Act as first line of defense to conduct AML/Financial Crime/ Fraud risk related transaction monitoring and business review to ensure adherence to internal/external requirements, identify possible AML/Financial Crime/ Fraud risks, prepare management report(s) and provide recommendations to mitigate relevant risks.
- Review KYC profiles, account opening / review documents.
- Conduct AML/Financial Crime/ Fraud risk related periodic and ad hoc monitoring/transaction review.
- Work closely with business and second line of defense to implement regulatory and internal requirements on the private banking business.
- Conduct regular and ad hoc self-assessment, gap analysis, survey, independent review against various AML related internal and/or regulatory requirements. Recommend follow up action to close the gaps where applicable.
- Prepare regular (monthly/quarterly/annually) and ad hoc internal reporting to senior management, second line of defense.
- Assist to conduct training to promote compliance culture.
- Assist to investigate suspicious transaction.
- Work on regulatory reporting matters, internal / external review or audit including coordinate with other departments, prepare response and carry out the relevant enhancements.
- Provide staff training where required.
- Assist on other ad hoc tasks as assigned.
- Act as first line of defense to conduct AML/Financial Crime/ Fraud risk related transaction monitoring and business review to ensure adherence to internal/external requirements, identify possible AML/Financial Crime/ Fraud risks, prepare management report(s) and provide recommendations to mitigate relevant risks.
- Review KYC profiles, account opening / review documents.
- Conduct AML/Financial Crime/ Fraud risk related periodic and ad hoc monitoring/transaction review.
- Work closely with business and second line of defense to implement regulatory and internal requirements on the private banking business.
- Conduct regular and ad hoc self-assessment, gap analysis, survey, independent review against various AML related internal and/or regulatory requirements. Recommend follow up action to close the gaps where applicable.
- Prepare regular (monthly/quarterly/annually) and ad hoc internal reporting to senior management, second line of defense.
- Assist to conduct training to promote compliance culture.
- Assist to investigate suspicious transaction.
- Work on regulatory reporting matters, internal / external review or audit including coordinate with other departments, prepare response and carry out the relevant enhancements.
- Provide staff training where required.
- Assist on other ad hoc tasks as assigned.
- Degree or above.
- 5 years working experience in banking and finance, of which 2 years in relevant private banking AML Compliance. Strong AML knowledge is an advantage.
- Independent, excellent analytical, time management and interpersonal skills, with ability to prioritize tasks.
- Proficient in written, spoken English AND Chinese.
- Familiar with HKMA/SFC regulatory requirements.
Seniority level
- Seniority level Not Applicable
- Employment type Full-time
- Job function Business Development
- Industries Banking, Capital Markets, and Financial Services
Referrals increase your chances of interviewing at Bank of China (Hong Kong) by 2x
Get notified about new Senior Compliance Manager jobs in Hong Kong SAR .
Associate Director, Data Security and Compliance Assistant Claims Services Manager (P&C Claims, Commercial and Financial) Business Strategy Manager (Contact Centre, CSM, Compliance Management) APAC Compliance Manager - Asset Management Senior Manager / Manager - Compliance & Quality Assurance (Complaint Handling) JAPANESE SPEAKING CORPORATE SUPPORT OFFICER (30k-32k x 13) - corporate governance / compliance / internal control / legal support (Tsuen Wan) Associate Director / Manager - Investigation and Compliance Business Compliance and Operational Risk Manager -Thematic Review (BRCM) Virtual Assets & Crypto Products Compliance Director VP, Compliance Officer – Asset Management Senior Project Manager - Finance Systems (Banking) Associate Director, Cloud and Infrastructure Compliance Internal Legal Compliance Officer (Hong Kong) Senior Regulatory Compliance Manager (Private Banking) Senior Compliance Manager, Equities Compliance, Compliance General Manager, Social Compliance, HardgoodsWe’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.
#J-18808-LjbffrSenior Compliance Manager, Equities Compliance, Compliance
Posted 10 days ago
Job Viewed
Job Description
Join to apply for the Senior Compliance Manager, Equities Compliance, Compliance role at CLSA .
This senior Compliance position is part of the Equities Compliance team reporting into the Head of Equities Compliance. The team provides compliance coverage to CSI Institutional Equities (Sales and Trading) Business and the Equities Derivatives Department.
Key Areas of Responsibilities
- Advisory – Provide advice on regulatory interpretation and compliance issues in the coverage area.
- New business initiatives – Review and provide input to new business and infrastructure initiatives from a regulatory and best practice perspective.
- Compliance policies and procedures – Review and update compliance procedures as necessary. Develop new procedures considering regulatory or business changes.
- Reviews and monitoring – Guide team members in conducting compliance monitoring to ensure ongoing compliance with key regulations.
- Regulatory enquiry – Handle regulatory inquiries and manage relationships with regulators.
- Training – Deliver compliance training to business units.
Requirements
- Master's degree or equivalent, preferably in business, accounting, or law.
- Minimum of 10 years relevant experience in compliance or internal audit within financial services, or with a securities exchange or regulator.
- Deep knowledge of Hong Kong regulatory and compliance requirements.
- Strong understanding of cash equities and equities derivatives businesses.
- Excellent analytical skills, detail-oriented.
- Effective communication skills; fluency in English, Cantonese, and Mandarin (advantageous).
- Team-oriented, dependable, self-motivated, with a strong ownership mentality.
- Director
- Full-time
- Finance
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Senior Compliance Manager, Equities Compliance, Compliance
Posted 3 days ago
Job Viewed
Job Description
Join to apply for the Senior Compliance Manager, Equities Compliance, Compliance role at CLSA .
This senior Compliance position is part of the Equities Compliance team reporting into the Head of Equities Compliance. The team provides compliance coverage to CSI Institutional Equities (Sales and Trading) Business and the Equities Derivatives Department.
Key Areas of Responsibilities
- Advisory – Provide advice on regulatory interpretation and compliance issues in the coverage area.
- New business initiatives – Review and provide input to new business and infrastructure initiatives from a regulatory and best practice perspective.
- Compliance policies and procedures – Review and update compliance procedures as necessary. Develop new procedures considering regulatory or business changes.
- Reviews and monitoring – Guide team members in conducting compliance monitoring to ensure ongoing compliance with key regulations.
- Regulatory enquiry – Handle regulatory inquiries and manage relationships with regulators.
- Training – Deliver compliance training to business units.
Requirements
- Master's degree or equivalent, preferably in business, accounting, or law.
- Minimum of 10 years relevant experience in compliance or internal audit within financial services, or with a securities exchange or regulator.
- Deep knowledge of Hong Kong regulatory and compliance requirements.
- Strong understanding of cash equities and equities derivatives businesses.
- Excellent analytical skills, detail-oriented.
- Effective communication skills; fluency in English, Cantonese, and Mandarin (advantageous).
- Team-oriented, dependable, self-motivated, with a strong ownership mentality.
- Director
- Full-time
- Finance
SVP, Regulatory Compliance
Posted 1 day ago
Job Viewed
Job Description
1 day ago Be among the first 25 applicants
This is a pivotal leadership position at the heart of our company's governance and integrity framework. As the SVP of Regulatory Compliance, you will be the designated Compliance Officer, serving as our primary liaison with the Hong Kong Monetary Authority (HKMA). You will be entrusted with the ultimate responsibility for owning, maintaining, and enhancing our compliance framework to ensure we not only meet but exceed regulatory expectations. This strategic role is critical to our license to operate, our public reputation, and our ability to innovate responsibly.
Key Responsibilities:
- Regulatory Relationship Management:
- Lead and manage all regulatory engagement with the HKMA and other relevant authorities. Act as the primary, official point of contact for supervisory teams, handling inquiries, coordinating examinations, and ensuring timely, accurate, and high-quality responses.
- Cultivate and maintain a relationship of trust and transparency with our regulators.
- Compliance Framework & Governance:
- Own and continuously enhance the company's compliance framework, including all policies, procedures, and internal controls to ensure robust adherence to all applicable laws, particularly the Payment Systems and Stored Value Facilities Ordinance (PSSVFO) and other relevant guidelines and circulars.
- Proactively oversee the regulatory monitoring process to identify, assess, and implement necessary changes in response to the evolving legal and regulatory landscape.
- Leadership & Culture:
- Drive a strong, proactive compliance culture throughout the entire organization, from the board level to daily operations.
- Develop and deliver impactful, ongoing compliance training programs for all staff to ensure a high level of awareness and competence across the company.
- Serve as a key member of the leadership team, providing guidance and strategic input on all matters with regulatory implications.
- Advisory & Assurance:
- Act as a strategic advisor to the business and senior management, providing pragmatic and commercially-minded compliance guidance on new products, business initiatives, and emerging technologies.
- Lead internal compliance reviews and risk assessments to provide assurance to the Board and senior management on the effectiveness of the control environment.
- Designated Officer Roles:
- Formally act as the designated Compliance Officer and Code of Conduct Officer for the company, maintaining all required regulatory records and fulfilling all statutory obligations associated with these roles.
Qualifications & Experience:
- A minimum of 10 years of progressive experience in regulatory compliance, risk management, or internal audit within an HKMA-regulated Authorized Institution (AI), Stored Value Facility (SVF), or a relevant regulatory body.
- Deep, demonstrable expertise in the Hong Kong regulatory environment, particularly the Banking Ordinance, PSSVFO and the HKMA's AML/CFT guidelines. Direct experience with Banking or SVF regulations is strongly preferred.
- Bachelor's degree in Law, Finance, Accounting, or a related discipline. Relevant professional qualifications are highly advantageous.
- Proven track record of successfully managing relationships and communications with financial regulators, especially the HKMA.
- Exceptional communication, interpersonal, and stakeholder management skills, with the gravitas to engage effectively with senior management, the Board of Directors, and regulators.
- A proactive, hands-on, and commercially-minded leader with unwavering integrity and a commitment to upholding the highest ethical standards.
General Culture and Benefits of RD Technologies
- Exciting and collaborative startup environment.
- Give your best while having fun and grow as a person.
- A flat structure: your ideas get heard by the right people very quickly.
- Creating your own profile in the startup ecosystem.
- Casual dress code.
- Free coffee, tea, drinks and snacks daily.
- In-house gym facilities.
- Regular and fun company activities.
- Other leaves in addition to annual leaves, e.g. marriage leave, birthday leave, compassionate leave.
Data collected would be used for recruitment purposes only. Applicants who do not hear from us may consider their application unsuccessful and their data will be destroyed within 24 months of receipt.
Seniority level- Seniority level Mid-Senior level
- Employment type Full-time
- Job function Business Development and Sales
Referrals increase your chances of interviewing at RD Technologies by 2x
Get notified about new Vice President Compliance jobs in Hong Kong, Hong Kong SAR .
Vice President, Product Compliance (Corporate Banking) (Asst) Vice President, Portfolio Management & Risk Analytics (Personal Banking) Vice President, Cybersecurity Risk Lead, Asia Pacific Vice President, Credit Policy and Portfolio Management (Unsecured Lending), Risk Management Group AVP - Compliance Assurance (Corporate Bank) Compliance Officer (Virtual Bank Candidate Welcome) Vice-President - Compliance 2nd Level Controls, Asia Pacific Senior Compliance Officer, General Compliance Vice President, High Risk Review - APAC, Financial Crimes Office Asia, Intelligence and AnalyticsCentral & Western District, Hong Kong SAR 2 weeks ago
AVP - IT Risk (Operational Risk), Corporate Bank Assistant Vice President - Operational Risk (IT Risk) Compliance Officer, Financial Crime, Compliance Compliance and Legal Officer - Consulting Firm Assistant Vice President (12-month Contract) Global Markets Operations DepartmentWe’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.
#J-18808-LjbffrSVP, Regulatory Compliance
Posted 1 day ago
Job Viewed
Job Description
1 day ago Be among the first 25 applicants
This is a pivotal leadership position at the heart of our company's governance and integrity framework. As the SVP of Regulatory Compliance, you will be the designated Compliance Officer, serving as our primary liaison with the Hong Kong Monetary Authority (HKMA). You will be entrusted with the ultimate responsibility for owning, maintaining, and enhancing our compliance framework to ensure we not only meet but exceed regulatory expectations. This strategic role is critical to our license to operate, our public reputation, and our ability to innovate responsibly.
Key Responsibilities:
- Regulatory Relationship Management:
- Lead and manage all regulatory engagement with the HKMA and other relevant authorities. Act as the primary, official point of contact for supervisory teams, handling inquiries, coordinating examinations, and ensuring timely, accurate, and high-quality responses.
- Cultivate and maintain a relationship of trust and transparency with our regulators.
- Compliance Framework & Governance:
- Own and continuously enhance the company's compliance framework, including all policies, procedures, and internal controls to ensure robust adherence to all applicable laws, particularly the Payment Systems and Stored Value Facilities Ordinance (PSSVFO) and other relevant guidelines and circulars.
- Proactively oversee the regulatory monitoring process to identify, assess, and implement necessary changes in response to the evolving legal and regulatory landscape.
- Leadership & Culture:
- Drive a strong, proactive compliance culture throughout the entire organization, from the board level to daily operations.
- Develop and deliver impactful, ongoing compliance training programs for all staff to ensure a high level of awareness and competence across the company.
- Serve as a key member of the leadership team, providing guidance and strategic input on all matters with regulatory implications.
- Advisory & Assurance:
- Act as a strategic advisor to the business and senior management, providing pragmatic and commercially-minded compliance guidance on new products, business initiatives, and emerging technologies.
- Lead internal compliance reviews and risk assessments to provide assurance to the Board and senior management on the effectiveness of the control environment.
- Designated Officer Roles:
- Formally act as the designated Compliance Officer and Code of Conduct Officer for the company, maintaining all required regulatory records and fulfilling all statutory obligations associated with these roles.
Qualifications & Experience:
- A minimum of 10 years of progressive experience in regulatory compliance, risk management, or internal audit within an HKMA-regulated Authorized Institution (AI), Stored Value Facility (SVF), or a relevant regulatory body.
- Deep, demonstrable expertise in the Hong Kong regulatory environment, particularly the Banking Ordinance, PSSVFO and the HKMA's AML/CFT guidelines. Direct experience with Banking or SVF regulations is strongly preferred.
- Bachelor's degree in Law, Finance, Accounting, or a related discipline. Relevant professional qualifications are highly advantageous.
- Proven track record of successfully managing relationships and communications with financial regulators, especially the HKMA.
- Exceptional communication, interpersonal, and stakeholder management skills, with the gravitas to engage effectively with senior management, the Board of Directors, and regulators.
- A proactive, hands-on, and commercially-minded leader with unwavering integrity and a commitment to upholding the highest ethical standards.
General Culture and Benefits of RD Technologies
- Exciting and collaborative startup environment.
- Give your best while having fun and grow as a person.
- A flat structure: your ideas get heard by the right people very quickly.
- Creating your own profile in the startup ecosystem.
- Casual dress code.
- Free coffee, tea, drinks and snacks daily.
- In-house gym facilities.
- Regular and fun company activities.
- Other leaves in addition to annual leaves, e.g. marriage leave, birthday leave, compassionate leave.
Data collected would be used for recruitment purposes only. Applicants who do not hear from us may consider their application unsuccessful and their data will be destroyed within 24 months of receipt.
Seniority level- Seniority level Mid-Senior level
- Employment type Full-time
- Job function Business Development and Sales
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