394 Trainee Compliance jobs in Hong Kong

Join to apply for the Compliance Officer, Financial Crime, Compliance role at CLSA .

The Compliance Officer, Financial Crime will be part of the CSI’s Regional Financial Crime Compliance team, Legal and Compliance, reporting to the Regional Head of Financial Crime Compliance. The role involves maintaining a robust financial crime compliance framework, monitoring clients and transactions, and reporting irregularities or suspicions.

Key Responsibilities

• Assist the Regional Head of Financial Crime Compliance in advising management and teams on AML, KYC, and FCC requirements to facilitate client onboarding and business initiatives.
• Monitor regulatory changes and update CSI AML/CFT policies accordingly.
• Participate in projects to refine AML/FCC policies and integrate them into firm-wide controls.
• Monitor transactions for unusual activities, conduct reviews, and report to authorities as needed.
• Assist in risk assessments, remediation, and screenings of clients, vendors, and counterparties.
• Coordinate within departments to promote AML/FCC awareness and compliance culture.

Requirements

• Bachelor's degree, preferably in Law, Accounting, or related fields.
• Experience in financial institutions, AML compliance, and KYC processes.
• More experienced candidates may be considered for Assistant Manager, Financial Crime.
• Ability to multitask and meet deadlines under pressure.
• Knowledge of securities laws, operations, and analytical skills to assess risks.
• Proficiency in MS Office; knowledge of SAS is a plus.
• Strong communication skills in English and Chinese (Mandarin).
• Self-motivated, organized, and professional.

Additional Details

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

This job is active and accepting applications.

3 days ago Be among the first 25 applicants

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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

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

• Seniority level Mid-Senior level

• Employment type Full-time

• Job function Legal
• Industries Telecommunications

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Wan Chai District, Hong Kong SAR 2 weeks ago

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3 days ago Be among the first 25 applicants

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

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

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

• Seniority level Mid-Senior level

• Employment type Full-time

• Job function Legal
• Industries Telecommunications

Referrals increase your chances of interviewing at HKT by 2x

Get notified about new Enterprise Risk Manager jobs in Hong Kong, Hong Kong SAR .

Wan Chai District, Hong Kong SAR 2 weeks ago

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

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

1. Advisory – Provide advice on regulatory interpretation and compliance issues in the coverage area.
2. New business initiatives – Review and provide input to new business and infrastructure initiatives from a regulatory and best practice perspective.
3. Compliance policies and procedures – Review and update compliance procedures as necessary. Develop new procedures considering regulatory or business changes.
4. Reviews and monitoring – Guide team members in conducting compliance monitoring to ensure ongoing compliance with key regulations.
5. Regulatory enquiry – Handle regulatory inquiries and manage relationships with regulators.
6. 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

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

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 Mid-Senior level

• Employment type Full-time

• Job function Business Development and Sales

Referrals increase your chances of interviewing at RD Technologies by 2x

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Central & Western District, Hong Kong SAR 2 weeks ago

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

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 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 .

Central & Western District, Hong Kong SAR 2 weeks ago

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

Join to apply for the Assistant Compliance Manager, Compliance role at CLSA

2 days ago Be among the first 25 applicants

Join to apply for the Assistant Compliance Manager, Compliance role at CLSA

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The role involves supporting the day to day workflow of the Control Room. All business lines communicate directly with the Global Control Room to provide timely updates on transactions. Control Room will participate in reviewing, maintaining and providing guidance on transactions, consistent with the firm’s policies and procedures, including information barriers and confidentiality, conflicts of interest, as well as research and gatekeeper policies. CLSA Control Room at the same time covers also research compliance function which provides business advisory and training to CLSA Research which has offices globally in 13 jurisdictions.

Key Areas of Responsibilities

• Maintain firm’s Watch and Restricted Lists.
• Pre-clear transactions from a conflict clearance and conflict management perspective, and escalating as necessary.
• Advise and provide guidance to global research activities.
• Manage and advise IPO pre-deal process.
• Manage Chinese Wall policy and procedures, including executing wall crossings where appropriate.
• Advise Personal Account Dealing requests when Watchlist/Restricted List is of concern.
• Maintain and update transaction flows and timetables in deal management system.
• Review of Equity Research Reports and any research publications against reputational and regulatory issues.
• Control and advise communication between Research and Investment Banking departments to minimize the risk of unauthorized dissemination of material non-public information and to protect the independence of Research analysts.
• Maintain and update research disclosures.
• Ensure control standards and monitoring are developed, maintained and completed in a timely manner.
• Provide relevant compliance control room input on global Chinese Wall and research related policies.
• Support information barrier surveillance functions including daily review, alerts and breach investigation
• Work closely with the Control Room in Beijing and Compliance Officers in all jurisdictions and for all products/specialization, including supporting regional offices on control room related matters.
• Provide Control Room and Research Compliance training as required.

Requirements

• Degree holder.
• Have a good understanding of financial markets, product business areas, particularly Research.
• Relevant Control Room and/or Research Compliance experience (3-5 years).
• Strong analytical skill, detail-oriented and project management skills.
• Able to identify and escalate operational and regulatory risk.
• Be able to utilize their intellect and exercise good judgment in making rational decisions while under pressure.
• Be able to communicate clearly and effectively in a professional, diplomatic manner.
• Able to build and to develop strong long-term relationships with colleagues, all levels of internal clients, including investment banking, research, and other stakeholders.
• A good command of English and Chinese is required (both in writing and spoken; for Chinese it would be both Cantonese and Putonghua, and both traditional and simplified Chinese).

• Seniority level Associate

• Employment type Full-time

• Job function Finance

Referrals increase your chances of interviewing at CLSA by 2x

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

Central & Western District, Hong Kong SAR 1 month ago

Central & Western District, Hong Kong SAR 2 weeks ago

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

Join to apply for the Assistant Compliance Manager, Compliance role at CLSA

2 days ago Be among the first 25 applicants

Join to apply for the Assistant Compliance Manager, Compliance role at CLSA

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

The role involves supporting the day to day workflow of the Control Room. All business lines communicate directly with the Global Control Room to provide timely updates on transactions. Control Room will participate in reviewing, maintaining and providing guidance on transactions, consistent with the firm’s policies and procedures, including information barriers and confidentiality, conflicts of interest, as well as research and gatekeeper policies. CLSA Control Room at the same time covers also research compliance function which provides business advisory and training to CLSA Research which has offices globally in 13 jurisdictions.

Key Areas of Responsibilities

• Maintain firm’s Watch and Restricted Lists.
• Pre-clear transactions from a conflict clearance and conflict management perspective, and escalating as necessary.
• Advise and provide guidance to global research activities.
• Manage and advise IPO pre-deal process.
• Manage Chinese Wall policy and procedures, including executing wall crossings where appropriate.
• Advise Personal Account Dealing requests when Watchlist/Restricted List is of concern.
• Maintain and update transaction flows and timetables in deal management system.
• Review of Equity Research Reports and any research publications against reputational and regulatory issues.
• Control and advise communication between Research and Investment Banking departments to minimize the risk of unauthorized dissemination of material non-public information and to protect the independence of Research analysts.
• Maintain and update research disclosures.
• Ensure control standards and monitoring are developed, maintained and completed in a timely manner.
• Provide relevant compliance control room input on global Chinese Wall and research related policies.
• Support information barrier surveillance functions including daily review, alerts and breach investigation
• Work closely with the Control Room in Beijing and Compliance Officers in all jurisdictions and for all products/specialization, including supporting regional offices on control room related matters.
• Provide Control Room and Research Compliance training as required.

Requirements

• Degree holder.
• Have a good understanding of financial markets, product business areas, particularly Research.
• Relevant Control Room and/or Research Compliance experience (3-5 years).
• Strong analytical skill, detail-oriented and project management skills.
• Able to identify and escalate operational and regulatory risk.
• Be able to utilize their intellect and exercise good judgment in making rational decisions while under pressure.
• Be able to communicate clearly and effectively in a professional, diplomatic manner.
• Able to build and to develop strong long-term relationships with colleagues, all levels of internal clients, including investment banking, research, and other stakeholders.
• A good command of English and Chinese is required (both in writing and spoken; for Chinese it would be both Cantonese and Putonghua, and both traditional and simplified Chinese).

• Seniority level Associate

• Employment type Full-time

• Job function Finance

Referrals increase your chances of interviewing at CLSA by 2x

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

Central & Western District, Hong Kong SAR 1 month ago

Central & Western District, Hong Kong SAR 2 weeks ago

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