164 Regulatory Compliance jobs in Hong Kong

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

• Employment type Full-time

Job function

• 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 .

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Manager, Regulatory Compliance & Advisory Manager, Regulatory Compliance & Advisory

3 days ago Be among the first 25 applicants

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Prudential’s purpose is to be partners for every life and protectors for every future. Our purpose encourages everything we do by creating a culture in which diversity is celebrated and inclusion assured, for our people, customers, and partners. We provide a platform for our people to do their best work and make an impact to the business, and we support our people’s career ambitions. We pledge to make Prudential a place where you can Connect, Grow, and Succeed.

To support the Director, Advisory & Regulatory Compliance in discharging his duties and ensure compliance with relevant law, regulations and Group policies. Providing advice on products and marketing campaign/promotions, liaison for product and marketing materials’ approval by Compliance, as well as providing advisory support for Product and Marketing teams. The role will also provide support on projects and new business initiatives as well as regulatory change implementation, as well as administrative support to the Compliance Advisory team.

Job Responsibilities

• Conduct independent product compliance review throughout the product development cycle as well as post-sales monitoring, including but not limited to ensure the product design meets all applicable regulatory requirements and “Treat Customer Fairly” principle, review the relevant sales and marketing materials as well as the training materials; (iii) product promotion campaign; (iv) marketing campaign, etc.
• Provide advice on product and marketing initiatives
• Provide support on projects and new business initiatives and coordination for regulatory change implementation as and when required
• Provide administrative support in the maintenance of Regulatory Matrix and the Regulatory Compliance System
  
  
  

Job Requirements

• Degree holder in related disciplines
• Have over 8 years working experience with at least 5 years in product compliance area in life insurance industry
• Excellent knowledge of (i) laws and regulatory requirements applicable to Life insurance products, and (ii) Life insurance operations (including life administration and agency administration), e.g. underwriting, policy administration, claims, and sales channels (covering agency, bancassurance and broker channels)
• Demonstrate ability on adoption of agile way of working, flexible to change, and ability to make independent, sound and informed decisions
• Excellent command of English and Chinese (written and spoken)
  
  
  

Prudential is an equal opportunity employer. We provide equality of opportunity of benefits for all who apply and who perform work for our organisation irrespective of sex, race, age, ethnic origin, educational, social and cultural background, marital status, pregnancy and maternity, religion or belief, disability or part-time / fixed-term work, or any other status protected by applicable law. We encourage the same standards from our recruitment and third-party suppliers taking into account the context of grade, job and location. We also allow for reasonable adjustments to support people with individual physical or mental health requirements.

Seniority level

• Seniority level Mid-Senior level

Employment type

• Employment type Full-time

Job function

• Job function Finance and Sales

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

Get notified about new Regulatory Compliance Manager jobs in Hong Kong, Hong Kong SAR .

Senior Regulatory Compliance Manager (Private Banking) Senior Manager, Global Compliance & Ethics (Bangkok Based, Relocation Provided) Senior Compliance Manager-Consumer Protection FSO - Risk Consulting - NFR (Regulatory Compliance) - Manager or above - HK (Senior) Business Compliance Manager (Corporate Business Compliance Division) Senior Manager, FinCrime Compliance (Bangkok Based, Relocation Provided) Compliance Manager / Senior Manager - Life Insurer Senior Manager & Team Head / Senior Manager – Business & Compliance Department under eMPF Company Assistant Manager – Facilities Management and Projects (13-month Contract) Distribution Operation & Administration, Specialist (Asst Manager Level) Senior Technology Risk Manager (Overseas Branch) Senior Manager – Leasing & Tenancy Compliance Technology Risk Management – Manager (Overseas Branch)

Hong Kong, Hong Kong SAR
$36,000.00
-
$70,000.00
3 weeks ago

Assistant Manager/ Manager – Regulatory & Compliance Senior Officer, Corporate Governance (Ref: CIA188/25, 10508) HEAD OF COMPLIANCE | REGIONAL BANK | INTERNATIONAL EXPANSION (Assistant / Deputy) Compliance Manager (Compliance Review)

Central & Western District, Hong Kong SAR 4 weeks ago

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Manager, Regulatory Compliance & Advisory Manager, Regulatory Compliance & Advisory

3 days ago Be among the first 25 applicants

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Prudential’s purpose is to be partners for every life and protectors for every future. Our purpose encourages everything we do by creating a culture in which diversity is celebrated and inclusion assured, for our people, customers, and partners. We provide a platform for our people to do their best work and make an impact to the business, and we support our people’s career ambitions. We pledge to make Prudential a place where you can Connect, Grow, and Succeed.
To support the Director, Advisory & Regulatory Compliance in discharging his duties and ensure compliance with relevant law, regulations and Group policies. Providing advice on products and marketing campaign/promotions, liaison for product and marketing materials’ approval by Compliance, as well as providing advisory support for Product and Marketing teams. The role will also provide support on projects and new business initiatives as well as regulatory change implementation, as well as administrative support to the Compliance Advisory team.
Job Responsibilities

• Conduct independent product compliance review throughout the product development cycle as well as post-sales monitoring, including but not limited to ensure the product design meets all applicable regulatory requirements and “Treat Customer Fairly” principle, review the relevant sales and marketing materials as well as the training materials; (iii) product promotion campaign; (iv) marketing campaign, etc.
• Provide advice on product and marketing initiatives
• Provide support on projects and new business initiatives and coordination for regulatory change implementation as and when required
• Provide administrative support in the maintenance of Regulatory Matrix and the Regulatory Compliance System
  

Job Requirements

• Degree holder in related disciplines
• Have over 8 years working experience with at least 5 years in product compliance area in life insurance industry
• Excellent knowledge of (i) laws and regulatory requirements applicable to Life insurance products, and (ii) Life insurance operations (including life administration and agency administration), e.g. underwriting, policy administration, claims, and sales channels (covering agency, bancassurance and broker channels)
• Demonstrate ability on adoption of agile way of working, flexible to change, and ability to make independent, sound and informed decisions
• Excellent command of English and Chinese (written and spoken)
  

Prudential is an equal opportunity employer. We provide equality of opportunity of benefits for all who apply and who perform work for our organisation irrespective of sex, race, age, ethnic origin, educational, social and cultural background, marital status, pregnancy and maternity, religion or belief, disability or part-time / fixed-term work, or any other status protected by applicable law. We encourage the same standards from our recruitment and third-party suppliers taking into account the context of grade, job and location. We also allow for reasonable adjustments to support people with individual physical or mental health requirements. Seniority level

• Seniority level Mid-Senior level

Employment type

• Employment type Full-time

Job function

• Job function Finance and Sales

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

Get notified about new Regulatory Compliance Manager jobs in Hong Kong, Hong Kong SAR .

Senior Regulatory Compliance Manager (Private Banking) Senior Manager, Global Compliance & Ethics (Bangkok Based, Relocation Provided) Senior Compliance Manager-Consumer Protection FSO - Risk Consulting - NFR (Regulatory Compliance) - Manager or above - HK (Senior) Business Compliance Manager (Corporate Business Compliance Division) Senior Manager, FinCrime Compliance (Bangkok Based, Relocation Provided) Compliance Manager / Senior Manager - Life Insurer Senior Manager & Team Head / Senior Manager – Business & Compliance Department under eMPF Company Assistant Manager – Facilities Management and Projects (13-month Contract) Distribution Operation & Administration, Specialist (Asst Manager Level) Senior Technology Risk Manager (Overseas Branch) Senior Manager – Leasing & Tenancy Compliance Technology Risk Management – Manager (Overseas Branch)

Hong Kong, Hong Kong SAR
$36,000.00
-
$70,000.00
3 weeks ago

Assistant Manager/ Manager – Regulatory & Compliance Senior Officer, Corporate Governance (Ref: CIA188/25, 10508) HEAD OF COMPLIANCE | REGIONAL BANK | INTERNATIONAL EXPANSION (Assistant / Deputy) Compliance Manager (Compliance Review)

Central & Western District, Hong Kong SAR 4 weeks ago

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Join to apply for the Compliance Specialist role at CSC

1 day ago Be among the first 25 applicants

Join to apply for the Compliance Specialist role at CSC

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Job Description

Compliance Specialist (Funds Solutions), Hong Kong

Monday - Friday, 9.00am - 6.00pm

About The Role

Job Responsibilities:

• Assist in the development and implementation of KYC policies and procedures in accordance with regulatory requirements.
• Ensure thorough due diligence processes for onboarding new customers and vendors, as well as periodic review of existing ones.
• Perform compliance testing on the client's KYC profile to ensure that the CDD is in accordance with KYC requirements, identifying any discrepancies and proposing potential enhancements.
• Provide guidance on client risk assessments, particularly for high-risk clients, and address KYC and transaction-related inquiries from business teams and stakeholders.
• Monitor and assess customer risk profiles to mitigate potential compliance risks.
  
  

Job Description

Compliance Specialist (Funds Solutions), Hong Kong

Monday - Friday, 9.00am - 6.00pm

About The Role

Job Responsibilities:

KYC Compliance

• Assist in the development and implementation of KYC policies and procedures in accordance with regulatory requirements.
• Ensure thorough due diligence processes for onboarding new customers and vendors, as well as periodic review of existing ones.
• Perform compliance testing on the client's KYC profile to ensure that the CDD is in accordance with KYC requirements, identifying any discrepancies and proposing potential enhancements.
• Provide guidance on client risk assessments, particularly for high-risk clients, and address KYC and transaction-related inquiries from business teams and stakeholders.
• Monitor and assess customer risk profiles to mitigate potential compliance risks.
  
  

Regulatory Support & Reporting

• Assist in preparing reports related to KYC and sanctions compliance for regulatory authorities.
• Support regulatory inspections and audits by providing relevant documentation and responding to inquiries.
• Maintain accurate records of compliance activities, including KYC reviews and sanctions investigations.
  
  

Training & Awareness

• Deliver compliance training programs to business teams to enhance awareness of KYC and AML regulations.
• Foster a culture of compliance and risk awareness across the organization.
  
  

Risk Management, Monitoring & Escalation

• Identify and assess compliance risks associated with KYC, AML and sanctions.
• Support the implementation of risk-based strategies for compliance monitoring and issue escalation.
• Assist in investigations related to suspicious activities, sanctions, and enhanced due diligence cases.
• Promptly escalate identified risks, compliance breaches, or suspicious activities to Management.
• Maintain comprehensive records of KYC data, sanctions checks, and compliance decisions.
  
  

Team Collaboration

• Work closely with the Compliance Team and cross-functional teams to ensure seamless execution of compliance activities.
• Collaborate with business units to address and resolve compliance-related issues effectively.
• Partner with legal, audit, and risk management teams to identify and mitigate compliance gaps.
  
  

Your Profile

• Bachelor’s degree in finance, Accounting, Law, or a related field.
• Prior experience in Funds Administration is an advantage.
• Minimum of 5 years of relevant experience in Anti-Money Laundering (AML) compliance.
• Strong knowledge of AMLO and other AML-related laws and regulations.
• Highly detail-oriented, self-motivated, and proactive.
• Independent, responsible, and team-oriented, with strong problem-solving skills.
• Excellent communication skills in both written and spoken Chinese and English.
• Strong interpersonal skills with the ability to collaborate effectively across teams.
  
  

About Us

CSC is a global business, legal, and financial services company based in Wilmington, Delaware, USA, providing knowledge-based solutions to clients worldwide. We have offices and capabilities in over 140 jurisdictions in the Americas, Europe, Asia Pacific, and the Middle East, and more than 8,000 colleagues. We are the business behind business.

Visit our careers site to learn more about CSC and our commitment to our clients, communities, and each other.

CSC is committed to creating a feeling of belonging through a diverse and growth-oriented environment where everyone is valued.

CSC colleagues have global career opportunities and excellent benefits, including annual success-sharing bonuses or commission plans based on individual performance. To learn more, visit cscglobal.com/service/careers .

We offer a range of support to colleagues with disabilities, ensuring people have the necessary resources to thrive in their roles. We encourage candidates to work closely with our talent acquisition partners to convey their specific needs. Our commitment to accessibility reflects our broader dedication to diversity and belonging,

CSC only accepts resumes from employment agencies that are part of our approved supplier program. Resumes submitted from other agencies either to talent acquisition, our hiring leaders, employees, or through any other mechanism other than our supplier process, will not be eligible to claim related fees and the submitted resumes will be considered property of CSC.

We encourage candidates to apply directly to our website and not through third-party sources.

Disclaimer: The information above describes the general nature and level of work performed by employees in this role. It is not intended to describe all duties, responsibilities, and qualifications. Seniority level

• Seniority level Mid-Senior level

Employment type

• Employment type Full-time

Job function

• Job function Finance and Sales
• Industries Financial Services, IT Services and IT Consulting, and Legal Services

Referrals increase your chances of interviewing at CSC by 2x

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

Compliance, Investment Banking Compliance, Analyst, Hong Kong (Assistant / Deputy) Compliance Manager (Compliance Review) Compliance Officer, Foreign Asset Management (SFC 1,4,9)

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Compliance Senior Specialist-Hong Kong SAR

Hong Kong, Hong Kong SAR HK 30,000.00-HK 43,000.00 6 days ago

Legal and Compliance, Assistant Manager (40-50k) Assistant Manager to Deputy Manager, General Compliance (Compliance and Legal Officer, Financial Crime Compliance – 1 year contract

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Chubb Life Global Office: Chief Compliance Officer, Chubb Life Compliance Manager, Global Transaction Banking Department AVP, Compliance (Transformation, Digital & Corporate Services) APAC Compliance Manager - Asset Management Internal Legal Compliance Officer (Hong Kong)

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Join to apply for the Compliance Specialist role at CSC

1 day ago Be among the first 25 applicants

Join to apply for the Compliance Specialist role at CSC

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

Job Description

Compliance Specialist (Funds Solutions), Hong Kong

Monday - Friday, 9.00am - 6.00pm

About The Role

Job Responsibilities:

• Assist in the development and implementation of KYC policies and procedures in accordance with regulatory requirements.
• Ensure thorough due diligence processes for onboarding new customers and vendors, as well as periodic review of existing ones.
• Perform compliance testing on the client's KYC profile to ensure that the CDD is in accordance with KYC requirements, identifying any discrepancies and proposing potential enhancements.
• Provide guidance on client risk assessments, particularly for high-risk clients, and address KYC and transaction-related inquiries from business teams and stakeholders.
• Monitor and assess customer risk profiles to mitigate potential compliance risks.
  

Job Description
Compliance Specialist (Funds Solutions), Hong Kong
Monday - Friday, 9.00am - 6.00pm
About The Role
Job Responsibilities:
KYC Compliance

• Assist in the development and implementation of KYC policies and procedures in accordance with regulatory requirements.
• Ensure thorough due diligence processes for onboarding new customers and vendors, as well as periodic review of existing ones.
• Perform compliance testing on the client's KYC profile to ensure that the CDD is in accordance with KYC requirements, identifying any discrepancies and proposing potential enhancements.
• Provide guidance on client risk assessments, particularly for high-risk clients, and address KYC and transaction-related inquiries from business teams and stakeholders.
• Monitor and assess customer risk profiles to mitigate potential compliance risks.
  

Regulatory Support & Reporting

• Assist in preparing reports related to KYC and sanctions compliance for regulatory authorities.
• Support regulatory inspections and audits by providing relevant documentation and responding to inquiries.
• Maintain accurate records of compliance activities, including KYC reviews and sanctions investigations.
  

Training & Awareness

• Deliver compliance training programs to business teams to enhance awareness of KYC and AML regulations.
• Foster a culture of compliance and risk awareness across the organization.
  

Risk Management, Monitoring & Escalation

• Identify and assess compliance risks associated with KYC, AML and sanctions.
• Support the implementation of risk-based strategies for compliance monitoring and issue escalation.
• Assist in investigations related to suspicious activities, sanctions, and enhanced due diligence cases.
• Promptly escalate identified risks, compliance breaches, or suspicious activities to Management.
• Maintain comprehensive records of KYC data, sanctions checks, and compliance decisions.
  

Team Collaboration

• Work closely with the Compliance Team and cross-functional teams to ensure seamless execution of compliance activities.
• Collaborate with business units to address and resolve compliance-related issues effectively.
• Partner with legal, audit, and risk management teams to identify and mitigate compliance gaps.
  

Your Profile

• Bachelor’s degree in finance, Accounting, Law, or a related field.
• Prior experience in Funds Administration is an advantage.
• Minimum of 5 years of relevant experience in Anti-Money Laundering (AML) compliance.
• Strong knowledge of AMLO and other AML-related laws and regulations.
• Highly detail-oriented, self-motivated, and proactive.
• Independent, responsible, and team-oriented, with strong problem-solving skills.
• Excellent communication skills in both written and spoken Chinese and English.
• Strong interpersonal skills with the ability to collaborate effectively across teams.
  

About Us
CSC is a global business, legal, and financial services company based in Wilmington, Delaware, USA, providing knowledge-based solutions to clients worldwide. We have offices and capabilities in over 140 jurisdictions in the Americas, Europe, Asia Pacific, and the Middle East, and more than 8,000 colleagues. We are the business behind business.
Visit our careers site to learn more about CSC and our commitment to our clients, communities, and each other.
CSC is committed to creating a feeling of belonging through a diverse and growth-oriented environment where everyone is valued.
CSC colleagues have global career opportunities and excellent benefits, including annual success-sharing bonuses or commission plans based on individual performance. To learn more, visit cscglobal.com/service/careers .
We offer a range of support to colleagues with disabilities, ensuring people have the necessary resources to thrive in their roles. We encourage candidates to work closely with our talent acquisition partners to convey their specific needs. Our commitment to accessibility reflects our broader dedication to diversity and belonging,
CSC only accepts resumes from employment agencies that are part of our approved supplier program. Resumes submitted from other agencies either to talent acquisition, our hiring leaders, employees, or through any other mechanism other than our supplier process, will not be eligible to claim related fees and the submitted resumes will be considered property of CSC.
We encourage candidates to apply directly to our website and not through third-party sources.
Disclaimer: The information above describes the general nature and level of work performed by employees in this role. It is not intended to describe all duties, responsibilities, and qualifications.Seniority level

• Seniority level Mid-Senior level

Employment type

• Employment type Full-time

Job function

• Job function Finance and Sales
• Industries Financial Services, IT Services and IT Consulting, and Legal Services

Referrals increase your chances of interviewing at CSC by 2x

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

Compliance, Investment Banking Compliance, Analyst, Hong Kong (Assistant / Deputy) Compliance Manager (Compliance Review) Compliance Officer, Foreign Asset Management (SFC 1,4,9)

Hong Kong, Hong Kong SAR HK$20,000.00-HK$0,000.00 1 week ago

Compliance Senior Specialist-Hong Kong SAR

Hong Kong, Hong Kong SAR HK 30,000.00-HK 43,000.00 6 days ago

Legal and Compliance, Assistant Manager (40-50k) Assistant Manager to Deputy Manager, General Compliance (Compliance and Legal Officer, Financial Crime Compliance – 1 year contract

Central & Western District, Hong Kong SAR 1 month ago

Chubb Life Global Office: Chief Compliance Officer, Chubb Life Compliance Manager, Global Transaction Banking Department AVP, Compliance (Transformation, Digital & Corporate Services) APAC Compliance Manager - Asset Management Internal Legal Compliance Officer (Hong Kong)

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Join to apply for the China Compliance Specialist role at Jane Street

Join to apply for the China Compliance Specialist role at Jane Street

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

We are looking for a China Compliance Specialist to join our Hong Kong team. You will work closely with internal business groups to identify, advise on, analyse and resolve compliance issues relating to Jane Street’s business in Asia, with a particular focus on China.

This role will focus on developing and implementing compliance controls across our trading infrastructure, and would best suit someone with previous experience in compliance, risk and/or business controls within the financial sector, with exposure to electronic trading at a liquidity provider, broker or investment bank. Responsibilities of this role will include:

• Staying up-to-date with the latest regulatory changes and developments in APAC (with a focus on China) on topics including but not limited to trade surveillance, derivatives and both on-exchange and OTC trading
• Having a deep understanding of pre-and post-trade controls and surveillance, including various execution and regulatory risks
• Designing and driving the development of compliance controls across our trading infrastructure to enhance our overall compliance framework
• Working closely with various teams across the firm (i.e. Trading, Tech/Engineering, Operations) to implement and enforce these pre- and post-trade controls
• Analysing existing and new business regulations, providing advice on their potential impact for the firm and formulating clear business requirements or processes in response
• Providing compliance-related guidance to internal teams (including salespeople and traders) and liaising with regulators and stakeholders to address compliance issues and queries
• Developing and administering on-demand and regular compliance training programmes for colleagues
• Assisting with trading flow-related issues and tasks
• Drafting and updating policies and procedures in line with changes to regulatory requirements to capture new kinds of activity

Jane Street’s Legal and Compliance team sits at the intersection of the firm’s business areas. This role is an opportunity to gain exposure to the varied operations of global trading and to develop infrastructure that will help set the foundation for our compliance practice in the future.

About You

• Have 8+ years of experience in a relevant compliance, risk or business control function within financial services (sellside/buyside/exchange)
• Knowledgeable in APAC electronic trading regulations and securities laws
• Pragmatic and practical when it comes to risk; you understand the importance of providing rational solutions
• Have excellent interpersonal skills; able to communicate clearly and explain your conclusions clearly to colleagues across the firm
• Proactive, responsible and detail-oriented
• Have excellent analytical and decision-making skills
• Able to manage competing priorities in a challenging and fast-paced environment
• Fluency in English required; proficiency in Asian languages preferred (particularly Mandarin Chinese)

Seniority level

• Seniority level Mid-Senior level

Employment type

• Employment type Full-time

Job function

• Job function Finance

Referrals increase your chances of interviewing at Jane Street by 2x

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

Compliance Senior Specialist-Hong Kong SAR Legal and Compliance, Assistant Manager (40-50k) Compliance & Conflicts Analyst, International Law Firm

Central & Western District, Hong Kong SAR 2 months ago

HEAD OF COMPLIANCE | REGIONAL BANK | INTERNATIONAL EXPANSION

Eastern District, Hong Kong SAR 4 hours ago

APAC Compliance Manager - Asset Management Senior Compliance Officer, General Compliance

Central & Western District, Hong Kong SAR 4 days ago

Assistant Manager / Manager, Compliance Assurance and Technologies AVP, Compliance (Transformation, Digital & Corporate Services) Associate Director / Manager - Investigation and Compliance

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QUESTIONNAIRE-6-52
81
**Serving the needs of all families with young children,** Carter's Inc. is the largest North American apparel retailer exclusively for babies and young children, encompassing Carter's, OshKosh B'gosh, Skip*Hop and Little Planet brands. Meaningful work, constant learning, genuine people, and a community guided by core values that promote inclusion and innovation is in everything we do. There are many reasons to build your career at Carter's.
**Product Risk Assessment :**
+ Manage product risk assessment process and consolidated garment factories' performance evaluation with support from QA, as well as provided support to safety failure analysis process.
+ Integrate safety failure data from the Inspection System into Product Risk Assessment evaluation.
+ Maintain statistics of test performance of vendors and garment factories to formulate training needs and plans for different stakeholders.
+ Deliver product risk level and product risk monitoring process.
**Product Testing Compliance & Process Enhancement :**
+ Provide technical testing support to vendors such as fabric mills, trims suppliers and garment factories.
+ Collaborate cross-functionally for test requirement clarification, and support laboratory accreditation /Component Test programs for fabric mills, garment factories and trims suppliers.
+ Communicate the cooperation model with 3rd party laboratories to offer cost-effective technical support and coverage when necessary, manage test arrangements for failure retest requests, or other research projects.
**Job Specifications :**
+ Higher Diploma or above in apparel, textile engineering/Chemistry or other related field.
+ A minimum of 3 years of quality assurance/product safety management/laboratory experience in garments. Experience with kids' wear will be highly advantageous with buying office.
+ Understand test and safety requirements for multiple countries, especially the US market, EU and China.
+ Well-versed in prioritization of tasks and good time management.
+ Capable of creating and delivering presentations to internal and external stakeholders.
+ Familiar with Microsoft Excel, PowerPoint and Outlook and reporting metrics.
+ Proficiency in communication skills, written and oral English.

Join to apply for the China Compliance Specialist role at Jane Street

Join to apply for the China Compliance Specialist role at Jane Street

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

We are looking for a China Compliance Specialist to join our Hong Kong team. You will work closely with internal business groups to identify, advise on, analyse and resolve compliance issues relating to Jane Street’s business in Asia, with a particular focus on China.

This role will focus on developing and implementing compliance controls across our trading infrastructure, and would best suit someone with previous experience in compliance, risk and/or business controls within the financial sector, with exposure to electronic trading at a liquidity provider, broker or investment bank. Responsibilities of this role will include:

• Staying up-to-date with the latest regulatory changes and developments in APAC (with a focus on China) on topics including but not limited to trade surveillance, derivatives and both on-exchange and OTC trading
• Having a deep understanding of pre-and post-trade controls and surveillance, including various execution and regulatory risks
• Designing and driving the development of compliance controls across our trading infrastructure to enhance our overall compliance framework
• Working closely with various teams across the firm (i.e. Trading, Tech/Engineering, Operations) to implement and enforce these pre- and post-trade controls
• Analysing existing and new business regulations, providing advice on their potential impact for the firm and formulating clear business requirements or processes in response
• Providing compliance-related guidance to internal teams (including salespeople and traders) and liaising with regulators and stakeholders to address compliance issues and queries
• Developing and administering on-demand and regular compliance training programmes for colleagues
• Assisting with trading flow-related issues and tasks
• Drafting and updating policies and procedures in line with changes to regulatory requirements to capture new kinds of activity

Jane Street’s Legal and Compliance team sits at the intersection of the firm’s business areas. This role is an opportunity to gain exposure to the varied operations of global trading and to develop infrastructure that will help set the foundation for our compliance practice in the future.

About You

• Have 8+ years of experience in a relevant compliance, risk or business control function within financial services (sellside/buyside/exchange)
• Knowledgeable in APAC electronic trading regulations and securities laws
• Pragmatic and practical when it comes to risk; you understand the importance of providing rational solutions
• Have excellent interpersonal skills; able to communicate clearly and explain your conclusions clearly to colleagues across the firm
• Proactive, responsible and detail-oriented
• Have excellent analytical and decision-making skills
• Able to manage competing priorities in a challenging and fast-paced environment
• Fluency in English required; proficiency in Asian languages preferred (particularly Mandarin Chinese)

Seniority level

• Seniority level Mid-Senior level

Employment type

• Employment type Full-time

Job function

• Job function Finance

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**Director, Regulatory, Product and Sales Compliance**
The Director of Regulatory, Product and Sales Compliance will play an essential role in ensuring the organization's adherence to regulatory standards and internal compliance frameworks. This position requires good knowledge in compliance matters related to product governance, sales practices and marketing material reviews. Key responsibilities include:
**Position Responsibilities:**
+ Providing compliance advisory support for the Regulatory, Product and Sales Compliance team, with a focus on product development, sales processes and marketing materials review;
+ Assisting in the design and implementation of effective compliance programs that address regulatory requirements and internal control frameworks across product, sales and operational functions;
+ Reviewing and advising on new business initiatives, regulatory developments, marketing strategies and emerging compliance risks;
+ Partnering with business units to develop and embed effective control mechanisms and regulatory processes, including customer due diligence, risk identification, product and sales governance;
+ Conducting thorough reviews and providing compliance clearance on product materials, sales campaigns and associated marketing materials;
+ Reviewing periodic compliance and regulatory reports and support annual corporate compliance reporting exercises
**Required Qualifications:**
+ Degree holder in Law, Accounting or Finance;
+ At least 8 years of relevant compliance experience with 5 years in the insurance or asset management industry preferred;
+ Proven experience in engaging with regulatory bodies such as the Insurance Authority and Securities and Futures Commission
+ Good command of both written and spoken English and Chinese
+ Strong analytical and problem-solving skills
+ Demonstrated ability to work independently, with a proactive and detail-oriented approach
+ In-depth knowledge of compliance practices in the life insurance sector, experience with ILAS products an advantage
**When you join our team:**
+ We'll empower you to learn and grow the career you want.
+ We'll recognize and support you in a flexible environment where well-being and inclusion are more than just words.
+ As part of our global team, we'll support you in shaping the future you want to see.
**Acerca de Manulife y John Hancock**
Manulife Financial Corporation es un importante proveedor internacional de servicios financieros que ayuda a las personas a tomar decisiones de una manera más fácil y a vivir mejor. Para obtener más información acerca de nosotros, visite .
**Manulife es un empleador que ofrece igualdad de oportunidades**
En Manulife/John Hancock, valoramos nuestra diversidad. Nos esforzamos por atraer, formar y retener una fuerza laboral tan diversa como los clientes a los que prestamos servicios, y para fomentar un entorno laboral inclusivo en el que se aprovechen las fortalezas de las culturas y las personas. Estamos comprometidos con la equidad en las contrataciones, la retención de talento, el ascenso y la remuneración, y administramos todas nuestras prácticas y programas sin discriminación por motivos de raza, ascendencia, lugar de origen, color, origen étnico, ciudadanía, religión o creencias religiosas, credo, sexo (incluyendo el embarazo y las afecciones relacionadas con este), orientación sexual, características genéticas, condición de veterano, identidad de género, expresión de género, edad, estado civil, estatus familiar, discapacidad, o cualquier otro aspecto protegido por la ley vigente.
Nuestra prioridad es eliminar las barreras para garantizar la igualdad de acceso al empleo. Un representante de Recursos Humanos trabajará con los solicitantes que requieran una adaptación razonable durante el proceso de solicitud. Toda la información que se haya compartido durante el proceso de solicitud de adaptación se almacenará y utilizará de manera congruente con las leyes y las políticas de Manulife/John Hancock correspondientes. Para solicitar una adaptación razonable en el proceso de solicitud, envíenos un mensaje a .
**Modalidades de Trabajo**
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