12 Monitoring Banking & financial services jobs found

about the company.A premier global corporate and investment bank with an extensive international footprint, dedicated to delivering sophisticated financial market solutions to institutional clients and corporations worldwide. about the team.Embedded within the global Market Risk Department, this team functions as part of an integrated global mandate. This regional division covers the Asia market with a primary focus on Equity market activities, ensuring th

This role sits within the specialized Asia Compliance branch of a premier, privately held global asset manager.Key Core ResponsibilitiesTrade Monitoring & Overrides: Conduct daily real-time pre-trade and post-trade compliance reviews across diverse fund mandates and account structures to ensure adherence to strict investment guidelines and policies.Information Barrier Management: Administer the front-office Information Barrier and wall-crossing protocols,

about the job:Perform independent trade surveillance and monitoring, alongside electronic communication (e-com) surveillance systems.Conduct independent second-level control reviews on selected business activities and public-side trading processes to ensure total alignment with legal, regulatory, and internal policy frameworks.Manage, evaluate, and handle regulatory requests, investigations, and inquiries efficiently.Provide accurate, timely regulatory com

Key ResponsibilitiesRegulatory Leadership: Act as the primary point of contact for the Securities and Futures Commission (SFC), managing all licensing applications, on-site inspections, and ongoing regulatory correspondence.Framework Design: Develop, implement, and oversee a comprehensive compliance program covering SFC Type 1 (Dealing in Securities) and Type 7 (ATS) regulated activities.AML/CTF Oversight: Serve as the Head of Compliance/ Chief Compliance

about the company.The company is a premier Asia-focused investment bank that provides corporate and institutional clients with unparalleled access and expertise across Japan and Asia. Backed by a parent group that stands as one of the world's largest financial institutions, the firm combines a powerful global presence with unique local market insights. Committed to strategic growth and regional expansion, the organization fosters a vibrant, inclusive, and

about the company.Our client is a well-established international banking group with a strong footprint in the Asia-Pacific region. Known for its stable corporate culture and commitment to professional development, the bank provides a premier platform for financial professionals to grow their careers within the Hong Kong commercial banking sector.about the team.You will join a dynamic and collaborative team of Relationship Managers and specialists. The team

This is a premier asset management firm with a robust track record of delivering top-tier investment solutions across the Asia-Pacific region.About the team.You will join a highly sophisticated and supportive legal and compliance team comprising seasoned industry professionals. The team values open communication, intellectual curiosity, and proactive problem-solving, working closely alongside senior management and investment professionals to safeguard the

An established international financial institution is seeking an experienced Senior Dealer / Dealer to join their expanding Global Markets Team in Hong Kong. This role focuses on executing foreign securities and global futures trade orders with high accuracy while delivering exceptional client service, operating under a valid SFC RA1 and RA2 licensing framework.about the company.Our client is a highly respected global financial services institution with a

An exceptional opportunity has arisen for a high-calibre Securities Services professional to lead a premier client management function within a top-tier commercial banking institution in Hong Kong. This pivotal role requires an expert in custody, fund accounting, and post-closing deal administration to drive service excellence, oversee complex portfolios, and lead a high-performing team in alignment with HKMA market standards.about the company.Our client i

An exceptional opportunity has arisen for a high-calibre Securities Services professional to lead a premier client management function within a top-tier commercial banking institution in Hong Kong. This pivotal role requires an expert in custody, fund accounting, and post-closing deal administration to drive service excellence, oversee complex portfolios, and lead a high-performing team in alignment with HKMA market standards.about the company.Our client i

about the company.The company is a premier Asia-focused investment bank that provides corporate and institutional clients with unparalleled access and expertise across Japan and Asia. Backed by a parent group that stands as one of the world's largest financial institutions, the firm combines a powerful global presence with unique local market insights. Committed to strategic growth and regional expansion, the organization fosters a vibrant, inclusive, and

about the company.Our client is a premier, top-tier global asset management firm with an extensive international footprint and a leading presence in the Hong Kong financial hub. Leveraging decades of sophisticated market expertise, the firm is renowned for delivering exclusive investment returns by deploying both fundamental and systematic trading strategies across diverse asset classes and global geographies.about the team.As part of this vibrant departm