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- ...d in the regional and global markets. We are looking for qualified individuals to join us. Responsibilities: Handle General Compliance related matters Handle enquiries, inspections, audits from regulators and external parties Assist in compliance monitoring ...
- Job Summary: We are seeking an experienced and proactive compliance professional to join the Legal & Compliance team as an Associate Director supporting the Investment Banking Division (IBD). This role is pivotal in ensuring regulatory compliance across corporate ...
- ...mission Job Description Assist the HK Head of Risk & Compliance in managing the institution’s compliance governance and assur... ...ks. Candidates with less experience may be considered for the Associate role. Previous experience managing compliance and audit pr...
- Morgan Stanley's Private Wealth Management Asia Technology (PWM Asia Tech) is responsible for providing front to back technology services to businesses that manage the Firm's high-net-worth clients in Asia and Australia. PWM Impact NextGen is a key multi-year initia...
- ...Summary: We are seeking a highly motivated and detail-oriented professional to join our Legal & Compliance team as a Research Compliance and Control Room Associate. This role is critical in maintaining the integrity of the bank's information barriers, managing con...
- ...unts and recommend appropriate remediation actions. Identify training needs and systemic weaknesses in procedures to enhance compliance efforts. Stay updated on AML regulations, policies, and industry trends to inform compliance practices. Communicate fin...
- Entry-Level Research Compliance Associate Location: Hong Kong | Start Date: Immediate / July / September 2025 Experience Level: Recent Graduate / 01 Year Experience About the Role Join the Research Compliance team at a fast-growing g...
- ...ent Hybrid Working Model/ Work Life Balance Established Career Growth And Development We are seeking a strong Compliance Assessment Associate to join our client, a leading High-Tech company in the APAC region. In this role, you will be responsible for managing...
- ...nd security domains. Roles and Responsibilities: Infrastructure Governance Control: Define, implement the infrastructure compliance policies in the infrastructure environment and to maintain the IT Infrastructure aligns with the regulatory framework and the com...
- ...y agencies) from new clients (including the processing of the associated staff, directors, MICs, Responsible Officers and substantial ... ... Director, Licensing Assisting with providing and amending compliance documentations to support corporate licensing applications ...
- Key Responsibilities Develop and maintain sophisticated quantitative models for market risk assessment, including, but not limited to, Value-at-Risk, tracking error, stress testing, and scenario analysis across various asset classes, such as equities, fixed income, ...
- .... Responsibilities Handle SFC licensing application and CPT records Review and draft procedures Provide constructive compliance solution and advice to Types 1,4,6,9 businesses Conduct compliance review including staff’s personal account dealing on regula...
- Responsibilities : Assist senior relationship managers in maintaining and expanding client relationships, ensuring client needs are met. Prepare client reports and proposals, providing market analysis and business insights. Manage and update client data, ensur...
- ...sanctions screening and monitoring; country/industry risk; and bespoke inquiries. As an Associate, you will support the overall research and due diligence within our Compliance Practice, by gathering information to help Kroll’s clients onboard and manage the risks as...
- Interesting opportunity in one of the top tier investment banks! Are you passionate about quality assurance and compliance? Do you thrive in fast-paced environments where precision and integrity matter? If so, we're looking for someone just like you to help us raise ...
- The incumbent will be responsible for carrying out various internal audit and compliance functions as well as ad hoc assignments. Responsibilities Assist in developing audit plans and tailor-made audit programs for different lines of business and monitor a dynami...
- ...h-net-worth clients. As part of the Account Onboarding team, you'll manage the end-to-end process of onboarding clients, ensuring compliance with regulatory requirements. Key Responsibilities: Handle new account requests and manage case reviews until account ...
- Department Profile The Compliance Department is part of the Legal and Compliance Division and provides guidance and advice to Business Units and infrastructure and support staff at the Firm, including Global Capital Markets, Investment Banking, and Research. The D...
- ...t-growing, founder-led company. The Role The Research Compliance team is a dynamic, external and internal-facing function whic... ...rowing business segments globally. As the Research Compliance Associate you will report into the Research Compliance Manager and work...
- Group Legal, Compliance & Secretariat ensures that the bank's interests are protected by zealously guarding and enhancing its reputation and capital. We also work to maintain a good standing with all our regulators, customers, and business partners. Because we believe ...
- ...rove KYC standards and ensure high-quality client due diligence. Handling queries from Sales, Global Financial Crimes (GFC), Compliance Testing, and Audit teams. Executing account maintenance functions across various client offerings and contributing to remedi...
- ...e complex risk landscapes and fortify technology governance, making a pivotal impact in our firm’s robust risk strategy. As a Compliance and Operations Risk Test Lead in the Testing Center of Excellence, you will play a pivotal role in enhancing our compliance and ...
- ...a high-growth commercial environment. Client Protection Associate Responsibilities What do you want your career to look like... ...eams to ensure their clients are always served to the highest compliance standards while enabling their fast-growing commercial succes...
- Are you detail-oriented, proactive, and passionate about delivering exceptional client service in a fast-paced financial environment? We're looking for a Client Service Manager to support relationship managers and clients with operational excellence and a strong service...
- ... on international expansion and specializing in wealth management. Advise the senior management and relevant business units on compliance related issues Provide support to business units in the development, implementation and regular review of products, policies a...
- My client is looking for senior IBD compliance - up to AD/VP level Preferably candidates coming from bulge bracket firms or even IBD legal experiences would be a plus Fluency in Mandarin is a MUST All applications applied through our system will be delivered dire...
- A top-notch private bank is seeking for a Java Developer to be part of their team! Your new role Excellent core java skills with oops/functional programming and architecture experience Working knowledge of springboot. Understanding of event drive...
- ... recurring client engagements Consolidate the search results in presentable format for internal dissemination Report to the Compliance team leader Requirements: Diploma or above with major in business related studies Minimum one year experience in commerc...
- To Compliance Officer Job Description Responsibilities: Carry out all compliance functions to ensure the Company adheres to relevant legal and regulatory requirements; Develop and update compliance policies and procedures; Prepare internal and external c...
- My client is looking for senior IBD compliance - up to AD/VP level Preferably candidates coming from bulge bracket firms or even IBD legal experiences would be a plus Fluency in Mandarin is a MUST