Regulatory compliance officer Full Time Funds Management, Corporate Finance &amp; Investment Banking Jobs

subClassification: Funds Management

classification: Banking & Financial Services

at Green Lake Executive Search Co. Limited

SFC license application in preparing and setting
Act as Responsible Officer with management
Minimum 5 years experience in structuring role

4d ago

Listed three days ago

Private Wealth Management - Relationship Manager/Assistant Relationship Manager

This is a Full time job

subClassification: Corporate Finance & Investment Banking

classification: Banking & Financial Services

Top-tier PWM platforms
Great incentives & bonus
All levels

3d ago

Listed five days ago

Responsible Officers (RO) SFC 1,4,9 – Application

at VOX Partners Group Limited

This is a Full time job

subClassification: Funds Management

classification: Banking & Financial Services

at BDO Financial Services Limited

Fast growing company
Excellent team dynamic, career progression opportunities
Hybrid work arrangement

5d ago

Listed eighteen days ago

Officer/Assistant, Compliance (Part-time) – Asset Management

This is a Full time job

subClassification: Funds Management

classification: Banking & Financial Services

at TeamPlus Consulting Limited

Japanese based Asset Management
On-the-job training provided
Welcome candidates with different background

18d ago

Listed fourteen days ago

SFC Type (1/ 2/ 4/ 6/ 9) Responsible Officers (RO)

This is a Full time job

subClassification: Funds Management

classification: Banking & Financial Services

at TeamPlus Consulting Limited

Current holders of unconditional RO preferred
Current Rep with enough experience considered
Min 5 years industry experience

14d ago

Listed twenty days ago

SFC Type (1, 2, 4, 6, 7, 9, 10) Responsible Officers (RO)

This is a Full time job

subClassification: Funds Management

classification: Banking & Financial Services

at Sinohope Technology Holdings Limited

Current holders of unconditional RO preferred
Current Rep with enough experience considered
Min 5 years industry experience

20d ago

Listed five days ago

Public Fund Responsible Officer (RO9)

This is a Full time job

subClassification: Corporate Finance & Investment Banking

classification: Banking & Financial Services

at Future Well License Compliance Limited

Act as a Responsible Officer (RO) with the SFC for Type 9
Engage in the process of uplifting the Type 9 license application
Act as one of the KIPs for the future launch of public funds

5d ago

Listed twenty one days ago

SFC Responsible Officers (RO) (Virtual Asset Management / Trading)

This is a Full time job

$70,000 – $80,000 per month

subClassification: Funds Management

classification: Banking & Financial Services

at Youxfort Holdings Group Limited

21d ago

Listed seventeen days ago

Type 4 & 9 Responsible Officer

This is a Full time job

subClassification: Funds Management

classification: Banking & Financial Services

at Parksong Mining and Resource Recycling Limited

17d ago

Listed seventeen days ago

Type 1,4 & 9 Responsible Officer

This is a Full time job

Yau Tsim Mong District

subClassification: Funds Management

classification: Banking & Financial Services

at Shanghai Commercial Bank Ltd

Responsible for strategies development, supervisory and implement
Formulate, review, and update the operational policies and procedures

17d ago

Listed more than thirty days ago

Vice President / Assistant Vice President, Investment & Insurance Compliance

This is a Full time job

North Point, Eastern District

subClassification: Corporate Finance & Investment Banking

classification: Banking & Financial Services

at Essence International Financial Holdings Limited

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

30d+ ago

Be an early applicant

Listed eighteen days ago

Fund Operation Officer – Asset Management

This is a Full time job

subClassification: Funds Management

classification: Banking & Financial Services

at Shanghai Commercial Bank Ltd

Day-to-day administration of money market funds
Liaise with custodian and trustee for fund issues
At least 1 year's relevant experience in money market fund operation

18d ago

Listed more than thirty days ago

Manager / Assistant Manager, Sustainability, Risk Management Division

This is a Full time job

North Point, Eastern District

subClassification: Corporate Finance & Investment Banking

classification: Banking & Financial Services

at IVD Medical Holding Limited

Group-wide Sustainable Banking vision, framework
Implementation of ESG and Sustainability projects
Minimum 3 years of relevant experience

30d+ ago

Be an early applicant

Listed eighteen days ago

Listed Company Secretary 公司秘書 (Responsible Officer Type 6 Experience)

This is a Full time job

Causeway Bay, Wan Chai District

subClassification: Corporate Finance & Investment Banking

classification: Banking & Financial Services

at Innaon Capital (Hong Kong) Co., Limited

Listed Company Secretary
Need Responsible Officer Type 6 experience
HKICPA/CICPA or CFA qualification

18d ago

Listed twenty six days ago

Responsible Officer / 證券交易1號牌負責人 (Full-time / Part-time)

This is a Full time job

Wong Chuk Hang, Southern District

subClassification: Funds Management

classification: Banking & Financial Services

at Green Lake Executive Search Co. Limited

Full-time / Part-time

26d ago

Listed thirteen days ago

Type 1,4,9 Sole RO - Chinese Asset Management firm

This is a Full time job

subClassification: Funds Management

classification: Banking & Financial Services

at Michael Page International (HK) Ltd

Responsible Officer
SFC sole 1,4,9 RO
Asset Management

13d ago

Listed eleven days ago

Middle Office Associate - MBS, FX, Repo, Interest Rate, Credit

This is a Full time job

$45k - $60k p.m. + Discretionary Bonus

subClassification: Funds Management

classification: Banking & Financial Services

at Blackhorn Wealth Management Limited

Solid product knowledge in MBS, FX, Repo, Interest Rate, Credit
Regional role covering APAC
Work with regional stakeholders in APAC

11d ago

Listed six days ago

Wealth Management Operation Officer

This is a Full time job

Admiralty, Central and Western District

subClassification: Corporate Finance & Investment Banking

classification: Banking & Financial Services

at China Construction Bank (Asia) Corporation Limited

6d ago

Listed more than thirty days ago

Head of Relationship Management, Private Banking

This is a Full time job

subClassification: Corporate Finance & Investment Banking

classification: Banking & Financial Services

at Eclipse Options (HK) Limited

University degree
Qualifications in IIQE/HKSI related areas are required
Minimum 8 years of Private Banking or relevant experience

30d+ ago

Be an early applicant

Listed more than thirty days ago

Senior Compliance Manager

This is a Full time job

Causeway Bay, Wan Chai District

subClassification: Corporate Finance & Investment Banking

classification: Banking & Financial Services

30d+ ago

Be an early applicant

Listed twenty eight days ago

Senior Officer, Credit Documentation, Foreign Corp Bank

at Hays Hong Kong Limited

This is a Full time job

$25000.0 - $35000.0 p.m.

subClassification: Corporate Finance & Investment Banking

classification: Banking & Financial Services

Senior Officer - AVP (Flexible)
Credit / Loans Documentation
Well Established Foreign Corporate Bank

28d ago

Be an early applicant

Listed eighteen days ago

Data Management Associate Senior, APAC Chief Data Office Team

at JPMorgan Chase Bank, N.A.

This is a Full time job

Hong Kong

subClassification: Corporate Finance & Investment Banking

classification: Banking & Financial Services