What Jobs are available for Trainee Compliance in Hong Kong?

Responsibilities

• Support the regulatory compliance function covering licensing and the regulated activities including the investment and insurance distribution activities and asset management
• Keep track of regulatory updates, establish and maintain regulatory register and identify gaps
• Assist to formulate the compliance program and conduct the compliance review
• Prepare compliance training materials
• Assist in end-to-end investigation on Clients' Complaints and self-escalated misconduct including the investigation report
• Assist in other compliance related tasks as assigned

Qualifications

• University degree
• At least 2 years or relevant experience in SFC licensed corporation
• Familiar with the SFC rules and regulations and industry practices
• Strong interpersonal and communication skills, self-motivated, responsible and fast paced work under pressure and meet tight deadlines
• Fluent in Mandarin, English and Cantonese

Key Areas of Responsibilities

• Conduct monitoring on various unfair trading, AML related issues, etc
• Review and/or prepare regulatory reports to FSS, KRX, KOFIA & KOFIU and other management reports
• Support the compliance head in handling regulatory and internal investigations/audits & department tasks
• Compile responses to/from regulatory queries/investigations
• Develop, update & enforce internal policies and procedures in compliance with local regulations
• Arrange meetings and prepare minutes (e.g. for BOD, etc)
• Update & maintain employee for the registration as a professional at KOFIA
• Review the staff dealing related process and collecting documents
• Deliver targeted compliance training
• Perform client onboarding – CDD, OCDD & EDD

Requirements

• Degree holder with minimum 8 years of experience in Compliance/Legal within Securities brokerage industries
• Possesses high standards of professional ethics, integrity and takes ownership of the work
• Knowledge in Korean regulations relating to Capital Market
• Ability to analyse issues with new products and regulatory requirements
• Self-motivated, diligent‎, work under pressure, manage deadlines and multitask
• Have great attention for details and be a good team player
• Excellent oral and written communication skills in Korean and English
• Excellent computer skills such as MS Excel, Word & Powerpoint

Assistant Manager, Group Enterprise Risk Management/ Compliance

This role primarily provides risk management and regulatory compliance advisory to PCCW Group and its insurance business in order to ensure the relevant business teams operate in strict adherence to applicable internal policy standards and regulatory requirements.

Your role:

• Provide risk management and regulatory compliance support to ensure effective controls on the daily operation of PCCW Group and its insurance business

• Maintain an effective implementation of the Risk and Compliance governance structure for relevant business activities

• Coordinate with the First Line of Defense and Group Legal team to enable business untis are operating in a strict compliance with relevant laws, regulations and internal policy guidelines

• Monitor the current relevant regulatory landscape and devise action plan corresponding to changes of regulatory requirements

• Organize training/ briefing with business units to promote their awareness of the Group policy requirements

• Liaise with the First Line of Defence on the preparation of risk and compliance reporting to relevant management/ relevant authorities/ insurance principals

• Support the review and evaluation of commercial deals and new initiatives of the business units

To succeed in this role:

• University degree with a minimum of 3 to 5 years' experience in risk management/regulatory compliance, preferably gained from the insurance industry
• Sound knowledge of relevant laws, regulations and guidelines, e.g. HKIA
• Proficient communication, interpersonal and stakeholder management skills
• Prior experience in engagement with regulators is preferred
• Knowledge of life insurance and general insurance products is a plus
• Self-motivated, independent team player with strong problem-solving skills
• Excellent command of written and spoken English and Chinese

If you have the desire for an exciting and rewarding career, please apply by sending your resume immediately, quoting your present and expected salary by clicking "Apply Now" or email to career-

For more information on other job opportunities of PCCW/HKT Corporate Functions, please visit our website. )

Key Responsibilities and Duties

• Conduct sanctions and name screening for onboarding, periodic and trigger review on customers
• Identify and conduct investigation on suspicious transactions which might relate to sanctioned individuals, money laundering or terrorist financing and prepare due diligence report on the risk associated
• Participate in responding to major sanctions compliance incidents and ensure prompt reporting
• Maintain proper documentations for review and tracking purpose
• Prepare documents for internal / external examination and Audits
• Ensure compliance with internal policies and external regulations
• Closely work with relevant stakeholders to ensure SLA is met
• Back up other team members to cover AML/CFT risks
• Complete assigned tasks of business projects

Experience, Qualifications and Skills

• Bachelor degree with 4 years of sanctions and name screening experience in the banking industry
• Good analytical, organized and possess decision making skills
• Good team player and positive attitude
• Attention to details and willing to learn
• Conscious on meeting SLA

Interested candidates, please send your detailed resume with contact telephone number, earliest availability date, current and expected salary via "Apply Now".

Personal information collected is strictly for recruitment purpose only.

We are among the top 5 full financial services institutions in Taiwan and managed financial assets of more than US$18 billion. We have also been consecutively ranked as Taiwan's best securities firm by Asiamoney, Euromoney and Finance Asia for 30 years. To cope with the growth of our Hong Kong office, we are looking for high calibre personnel to fill the following position:

Responsibilities:

• Assist in conducting monitoring activities including desk reviews, thematic reviews and AML compliance review wherever appropriate for compliance with regulatory requirements
• Assist in maintaining internal policies and procedures to ensure that the operation as a whole is complied with the applicable legal and regulatory requirements
• Assist in performing monthly compliance audit for the Company
• Maintain and update licensing record database, handle license applications and all subsequent notification therein
• Perform administrative duties to fulfill the statutory requirements and assist to perform company secretarial matters
• Other administrative duties and ad hoc projects assigned by the Management

Requirements:

• Degree holder in Law, Finance, Accounting or other related disciplines
• 1-year' working experience in brokerage firms, fresh graduate will be considered as a trainee
• Basic knowledge of AML rules and SFO
• Excellent command of written and spoken English, Chinese and Mandarin

We offer competitive remuneration packages to the right candidates. Please send your application with full career details, current and expected salary to us by e-mail or by mail to: The Human Resources Department, CSC Securities (HK) Limited, 3/F., 308 Central Des Voeux, No. 308 Des Voeux Central, Hong Kong.

Data collected would be used for recruitment purpose only and will be retained for not more than 2 years.

Lead regulatory compliance at a fast-growing fintech with regional licensing across Asia.

Your new company

This opportunity is with a fast-growing fintech firm headquartered in Asia, offering innovative payment and financial solutions to businesses across the region. The company is expanding its footprint and has obtained key regulatory approvals, including licensing for virtual asset trading and payment services. With a strong focus on compliance and governance, the organization is committed to building a secure and transparent financial ecosystem.

Your new role

As the Regulatory Compliance VP, you will:

• Oversee regulatory compliance across multiple jurisdictions, including Hong Kong and Singapore.
• Manage licensing processes and regulatory relationships, particularly with SFC and VATP-related frameworks.
• Develop and maintain internal compliance policies and procedures aligned with evolving regulatory requirements.
• Lead internal audits, gap analyses, and remediation efforts.
• Support product development and business expansion from a compliance perspective.

What you'll need to succeed

• Proven experience in regulatory compliance within fintech, virtual asset platforms, or licensed financial institutions.
• Strong understanding of SFC licensing, VATP regulations, and regional compliance frameworks.
• Familiarity with AML, KYC, and financial crime prevention standards.
• Excellent communication and stakeholder management skills.
• Fluency in English; Cantonese or Mandarin is a plus.

What you need to do now

If you're interested in this role, click 'apply now' to forward an up-to-date copy of your CV, or share your profile to

If this job isn't quite right for you, but you are looking for a new position, please contact us for a confidential discussion on your career.

Bank of Singapore opens doors to new opportunities.

At Bank of Singapore, we are constantly on the lookout for exceptional individuals to join our team. We promote a culture of openness, teamwork and fairness. Most importantly, we invest in our people through our programmes that develop them on both professional and personal levels. Besides attractive remuneration packages, we offer non-financial benefits and opportunities to develop your potential within OCBC Group's global network of subsidiaries and offices. If you have passion, drive and the will to succeed, rise to the challenge today

Main Duties

• Handle staff dealing issues including preparation of consent letter sent to securities brokers of staff, in particular with expected increase in front office. This task is important in accordance with HK SFC Code of Conduct requirements
• Provide compliance briefing to new joiners so as to ensure new joiners adapt to BOS and regulatory requirements as well as bank culture
• Handle staff registration of licensed staff with HKMA so that front office can carry out regulated activities and account opening asap
• Handle various staff declarations such as external business and shareholding declarations, staff annual declaration checking and filing so that potential conflict of interests can be properly monitored in accordance with Group's and regulatory standards
• Review and approve Continuous Professional Training/Ongoing Professional Training hours for front office in order to maintain their licenses with HKMA/SFC
• Provide support to handle company secretarial tasks (e.g. filing of change of BOS directors and their particulars to HK SFC and Companies Registrars etc) of BOS HK
• Provide regulatory compliance advice and support to management and staff of HK Branch
• Provide support to the existing general compliance and product compliance sub teams
• Assist in completing regulatory submission, surveys, offsite reviews and ad hoc requests (both HKMA and SFC)
• Assist in providing regulatory compliance related support in GA audit
• Provide all necessary support to head office RC when needed

Competence Requirements

• Minimum of 3-5 years' industry experience
• Holds a bachelor's degree, or equivalent
• Private bank or brokerage experience from advisory is desired
• Has the ability to work well within a matrix organization
• The ability to drill down to root cause, develop solutions, and lead process change
• Preferable for candidates with HKIB Enhanced Competency Framework (ECF) professional qualification

Our client is seeking a highly motivated and experienced professional in the Regulatory Compliance and Inspection function. This role is ideal for someone with a strong compliance background, particularly in the securities or brokerage industry, and hands-on experience in enforcement, inspections, and trading rules. The successful candidate will be responsible for ensuring regulatory adherence, managing inspections, and promoting a culture of ethical conduct and compliance through training and market education.

Key Responsibilities

• Lead the development, implementation, and oversight of the company's compliance and market conduct framework.
• Ensure full compliance with all applicable laws, regulations, and internal policies, particularly those governing the secondary market.
• Conduct inspections and compliance risk assessments and manage regulatory inquiries and enforcement-related matters.
• Oversee and enforce rules related to trading activities, ensuring alignment with market conduct standards.
• Act as the primary liaison with regulatory bodies, handling inspections and regulatory reviews.
• Provide expert guidance to business units on compliance issues and regulatory developments.
• Handle compliance cases independently, from investigation to resolution.
• Monitor and report on compliance breaches, recommending and tracking corrective actions.

Qualifications and Skills

• Must be CPA certified.
• Minimum of 3 – 5 years of experience in compliance, audit, or regulatory roles, preferably within the securities or brokerage industry.
• Solid understanding of regulatory frameworks, market conduct standards, and secondary market enforcement.
• Experience in HKEX, SCO, SFC guidelines.
• Proven experience in handling inspections, case management, and trading rules enforcement.
• Hands-on experience in data analysis using Tableau or similar visualization platforms.
• Strong communication skills in Cantonese, English, and Mandarin

Please visit Adecco website with the below link for application:

Please note that only shortlisted candidates will be notified.  All information gathered will be treated in strictly confidential and solely used for recruitment purpose.

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 is a must
• 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.