13 Monitoring Banking & financial services jobs found

Investment & Insurance Advisory: Provide compliance guidance on investment and insurance products while maintaining and reviewing relevant compliance manuals.Licensing & CPD Management: Oversee all registration and licensing processes for HKMA and the Insurance Authority (IA), including the continuous monitoring of CPT and CPD requirements.Compliance Monitoring: Conduct regular compliance reviews, draft detailed monitoring reports, and offer actionable re

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

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

Responsible Officer 1 & 4 (Unconditional/Operation/SFC/Compliance)about the company.Our client is a well-established boutique local securities brokerage with a long history of serving private and institutional clients in Hong Kong. They are known for their stable to market expansion. The firm offers a professional and quiet office culture where the focus is on long-term client relationships and rigorous adherence to regulatory standards.about the team.You

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 team.You will join a sophisticated legal and compliance function comprised of seasoned professionals. The team culture is collaborative and execution-focused, valuing clear communication and practical problem-solving. This is an environment where your regulatory expertise will be directly integrated into business decision-making.about the job.Provide day-to-day compliance support for regulated activities, focusing on asset management and AML/KYC

about the company.Provides tailored investment solutions for ultra-high-net-worth families across Asia. As a leading independent wealth manager in Asia, was established to bring over 90 years of expertise to Asia’s wealth landscape. Offers comprehensive multi-family office services, focusing on bespoke investment strategies to match long-term goals, risk preferences, and unique financial structures.about the job.Assist relationship managers in implementing

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 CompanyOur client is a prominent player in the Hong Kong financial landscape, specialising in Local Loan and Credit Card products. They pride themselves on being at the forefront of the digital marketing space, consistently outperforming traditional competitors through agile strategies and a customer-centric approach. About the TeamYou will lead a dynamic and multi-disciplinary department of 10+ subordinates. The team structure includes dedicated

About the CompanyOur client is a prominent player in the Hong Kong financial landscape, specialising in Local Loan and Credit Card products. They pride themselves on being at the forefront of the digital marketing space, consistently outperforming traditional competitors through agile strategies and a customer-centric approach. About the TeamYou will lead a dynamic and multi-disciplinary department of 10+ subordinates. The team structure includes dedicated

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