Investment compliance Jobs

subClassification: Compliance & RiskCompliance & Risk

classification: Banking & Financial Services(Banking & Financial Services)

Provide advice and guidance to the prospective insurance businesses
Conduct gap analysis and review new product & service proposals
Stable working environment/ Work-life balance

7d ago

Listed six days ago

Vice President / Assistant Vice President, Compliance

at Jobsdb - SmartHire

This is a Full time job

subClassification: Compliance & RiskCompliance & Risk

classification: Banking & Financial Services(Banking & Financial Services)

Get this job & get HKD2,000 from Jobsdb!
Annual Leave 15-16 days, 5 days work week
University degree in Law, Finance or related disciplines

6d ago

Listed twelve days ago

Investment Compliance Manager, Private Banking

at Industrial Bank Co., Ltd.

This is a Full time job

subClassification: Compliance & RiskCompliance & Risk

classification: Banking & Financial Services(Banking & Financial Services)

Min. 5 years of investment compliance experience in private banking industry
Familiar with banking operations & knowledge of investment products
Strong knowledge of regulatory requirements

12d ago

Listed twelve days ago

Manager/AVP – Investment & Insurance Compliance

at Chong Hing Bank Ltd

This is a Full time job

at Eddid Financial Holdings Limited

subClassification: Compliance & RiskCompliance & Risk

classification: Banking & Financial Services(Banking & Financial Services)

I&I Compliance Advisory
Policy, Procedural Manuals and Projects
Conversant with relevant ordinance & HKMA SPM

12d ago

Listed three days ago

Vice President / Assistant Vice President, Compliance

This is a Full time job

at CMBC Capital Holdings Limited

subClassification: Compliance & RiskCompliance & Risk

classification: Banking & Financial Services(Banking & Financial Services)

Support compliance functions of the Group
Knowledge and exp. in other financial section
Sound knowledge of HKEX Rules and Guidance

3d ago

Listed ten days ago

Compliance manager

This is a Full time job

subClassification: Compliance & RiskCompliance & Risk

classification: Banking & Financial Services(Banking & Financial Services)

Type 1/4, Type 2, Type 1/6 and Type 4/9 licensed activities
3-8 years of relevant working experience
Advise business on compliance issues

10d ago

Listed four days ago

Assistant Compliance Manager, Equities Compliance

at CLSA Limited

This is a Full time job

subClassification: Banking & Finance LawBanking & Finance Law

classification: Legal(Legal)

Minimum 2 years in compliance/ internal audit
Compliance for Institutional Equities
Knowledge of SMARTs surveillance system

4d ago

Listed twenty four days ago

Manager / Assistant Compliance Manager (focusing on Insurance businesses)

at O-Bank Co., Ltd

This is a Full time job

at Sofi Securities (Hong Kong) Limited

subClassification: Compliance & RiskCompliance & Risk

classification: Banking & Financial Services(Banking & Financial Services)

Provide advice and guidance to the prospective insurance businesses
Conduct gap analysis and review new product & service proposals
Stable working environment/ Work-life balance

24d ago

Listed five days ago

Associate, Risk and Compliance

This is a Full time job

at Yue Xiu Securities Holdings Limited

subClassification: Compliance & RiskCompliance & Risk

classification: Banking & Financial Services(Banking & Financial Services)

2+ years of relevant working experience
20 days of Annual Leave
Semi-Annual Bonus

5d ago

Listed seven days ago

Senior Associate/ Vice President - Compliance and Legal Affairs Department

This is a Full time job

Wan Chai, Wan Chai District

subClassification: Compliance & RiskCompliance & Risk

classification: Banking & Financial Services(Banking & Financial Services)

Assist different lines of businesses on various compliance issues
Ability to work well with various business
At least 3 years of relevant experience in asset management compliance

7d ago

Listed three days ago

Vice President, Business Compliance, Consumer Banking (Compliance Advisory, 2nd

at DBS Bank (Hong Kong) Limited

This is a Full time job

Hong Kong

subClassification: Compliance & RiskCompliance & Risk

classification: Banking & Financial Services(Banking & Financial Services)

3d ago

Be an early applicant

Listed six days ago

Compliance Manager, Securities Business Department

at Industrial and Commercial Bank of China (Asia) Limited

This is a Full time job

Hong Kong

subClassification: Compliance & RiskCompliance & Risk

classification: Banking & Financial Services(Banking & Financial Services)

Disseminate laws and regulations
Handle compliance-related requests
Holder of HKSI Paper: 1, 7 and 8 is preferable

6d ago

Listed five days ago

Legal and Compliance Manager

at ICBC Asset Management (Global) Company Limited

This is a Full time job

at Guotai Junan International Holdings Limited

subClassification: Compliance & RiskCompliance & Risk

classification: Banking & Financial Services(Banking & Financial Services)

Top-tier Chinese asset management firm
With at least 3 years of experience in Audit, Compliance or Control functions
Fair knowledge of compliance, AML and local regulations

5d ago

Listed ten days ago

Compliance Manager (OTC derivatives and structured products)

This is a Full time job

Hong Kong

subClassification: Compliance & RiskCompliance & Risk

classification: Banking & Financial Services(Banking & Financial Services)

Strong Employee Benefits Package
Opportunities for Advancement
Emphasis on Work-Life Balance

10d ago

Listed twenty one days ago

Compliance Manager (Asset Management)

at Be Myjob Company Limited

This is a Full time job

subClassification: Banking & Finance LawBanking & Finance Law

classification: Legal(Legal)

Asset Management
Compliance
Attractive Salary & Bonus

21d ago

Listed four days ago

Premier Relationship Manager - Wealth and Personal Banking

at HSBC

This is a Full time job

at Oriental Patron Financial Services Group Ltd.

subClassification: Banking - Retail/BranchBanking - Retail/Branch

classification: Banking & Financial Services(Banking & Financial Services)

One of the world's leading international banks
Excellent Career Progression
Dynamic working environment

4d ago

Listed thirteen days ago

Compliance Specialist

This is a Full time job

Sheung Wan, Central and Western District

subClassification: Compliance & RiskCompliance & Risk

classification: Banking & Financial Services(Banking & Financial Services)

13d ago

Listed more than thirty days ago

Vice President / Assistant Vice President, Investment & Insurance Compliance

at Shanghai Commercial Bank Ltd

This is a Full time job

North Point, Eastern District

subClassification: Corporate Finance & Investment BankingCorporate Finance & Investment Banking

classification: Banking & Financial Services(Banking & Financial Services)

Provide advisory services on Investment
Deliver investment compliance training
Liaise with external regulators and auditors

30d+ ago

Be an early applicant

Listed ten days ago

Premier Relationship Manager - Wealth and Personal Banking

at HSBC

This is a Full time job

at JH Partners (Asia) Company Limited

subClassification: Banking - Retail/BranchBanking - Retail/Branch

classification: Banking & Financial Services(Banking & Financial Services)

One of the world's leading international banks
Excellent Career Progression
Dynamic working environment

10d ago

Listed twenty days ago

Asset Mangement - Compliance VP/SVP

This is a Full time job

at DIGIFIN (HONG KONG) LIMITED

subClassification: Compliance & RiskCompliance & Risk

classification: Banking & Financial Services(Banking & Financial Services)

20d ago

Listed eleven days ago

Wealth Management Manager/Head

This is a Full time job

Sheung Wan, Central and Western District

subClassification: Corporate Finance & Investment BankingCorporate Finance & Investment Banking

classification: Banking & Financial Services(Banking & Financial Services)

11d ago

Be an early applicant

Listed nineteen days ago

Compliance Manager (Leading Securities, MIC)

at Links international

This is a Full time job

at Eddid Financial Holdings Limited

subClassification: Compliance & RiskCompliance & Risk

classification: Banking & Financial Services(Banking & Financial Services)

PRC Leading Securities
Compliance MIC
Type 1,4,6,9

19d ago

Listed eighteen days ago

Vice President / Assistant Vice President, Compliance

This is a Full time job

at Manpower Services (Hong Kong) Limited

subClassification: Compliance & RiskCompliance & Risk

classification: Banking & Financial Services(Banking & Financial Services)

Support compliance functions of the Group
Knowledge and exp. in other financial section
Sound knowledge of HKEX Rules and Guidance

18d ago

Listed twenty one days ago

Senior Compliance Manager (I&I) in banking industry

This is a Full time job

at Essence International Financial Holdings Limited

subClassification: Compliance & RiskCompliance & Risk

classification: Banking & Financial Services(Banking & Financial Services)

Investment & Insurance
Liaise with regulators (HKMA, SFC, IA)
6-8 years experience

21d ago

Listed twenty five days ago

Compliance Post for Asset Management

This is a Full time job

subClassification: Funds ManagementFunds Management

classification: Banking & Financial Services(Banking & Financial Services)

At least 7 years’ relevant experience
Support regulatory compliance of authorized fund
Knowledge of Asset Management business and products

25d ago

Listed nineteen days ago

Compliance Manager (MNC brokerage)

at Links international

This is a Full time job

at Recruitment Intelligence Consultants Ltd

subClassification: Compliance & RiskCompliance & Risk

classification: Banking & Financial Services(Banking & Financial Services)

MNC Brokerage
Compliance MIC
Type 1,2,4 ,9

19d ago

Listed seventeen days ago

REGULATORY COMPLIANCE (OVERSIGHT / GOVERNANCE) - VP / AVP

This is a Full time job

at DBS Bank (Hong Kong) Limited

subClassification: Generalists - In-houseGeneralists - In-house

classification: Legal(Legal)

Compliance (Oversight/ Control)
Well established bank
excellent career opportunity

17d ago

Listed nineteen days ago

AVP / Senior Associate, Compliance & Controls Officer, Equity Capital Markets

This is a Full time job

Hong Kong Island

subClassification: Compliance & RiskCompliance & Risk

classification: Banking & Financial Services(Banking & Financial Services)

19d ago

Listed twenty seven days ago

Compliance Manager in Asset Management Firm

at TeamPlus Consulting Limited

This is a Full time job

subClassification: Compliance & RiskCompliance & Risk

classification: Banking & Financial Services(Banking & Financial Services)

Attractive remuneration
3- 5 yrs of asset management experience
Fast growing financial group

27d ago

Listed twenty days ago

Compliance Manager (Insurance Company)

at Be Myjob Company Limited

This is a Full time job

at [Conversion] Chau Wan Yu, Joyce

subClassification: Compliance & RiskCompliance & Risk

classification: Banking & Financial Services(Banking & Financial Services)

Insurance Compliance
Life Insurance Business
Attractive Package

20d ago

Listed twenty six days ago

Private Wealth Management 私人财富管理经理/实习生(IANG/高才優才計劃）

This is a Full time job