18 Regulatory Banking & financial services jobs found

about the company.Our client is a premier financial institution with a significant footprint in the Asia-Pacific region. Known for its robust corporate culture and commitment to excellence, the bank offers a stable and professional environment for banking professionals to grow their careers within the Hong Kong financial hub.about the team.You will join a dedicated Credit Administration team comprised of seasoned professionals. The team prides itself on ac

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

about the company.Our client is one of the world’s largest and most respected financial institutions. Known for its stability and global reach, the Hong Kong office provides a dynamic environment where international standards meet deep-rooted expertise in Japanese corporate culture and global markets.about the team.You will join Corporate Banking Department, specifically within Japanese Corporate Team. The team is comprised of collaborative professionals w

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

COMPANY DESCRIPTIONA prominent financial institution with a dedicated oversight of Anti-Money Laundering (AML) and Counter-Financing of Terrorism (CFT) frameworks. The bank operates under the regulatory supervision of the HKMA and maintains a comprehensive policy and governance agenda to ensure global and local regulatory alignment.JOB DESCRIPTION:* Provide specialised AML/CFT advisory to internal stakeholders and issue sanctions-related advice, including

COMPANY DESCRIPTIONA top tier insurance company is seeking a Financial Crime Compliance Senior Manager. The organisation leverages deep expertise in High Net Worth segments to drive sustainable grow across international markets.KEY DUTIES* Design, implement and maintain AML/CTF, sanctions and ABC guidelines* Serve as the main point of contact to the Group on compliance and risk advisory including daily operations and projects* Support the MLRO to evaluate

about the company.My client is a leading Private Bank and they are looking for a Senior Associate under their Operations team. about the job.Act as the primary Checker and Authorizer for daily trade processing, booking, and settlement activities related to Derivatives and Structured Notes productsExpertly handle and execute complex trade life-cycle events ensuring timely and accurate executionExecute and supervise robust daily controls, including the recon

COMPANY DESCRIPTIONA prominent financial institution with a dedicated oversight of Anti-Money Laundering (AML) and Counter-Financing of Terrorism (CFT) frameworks. The bank operates under the regulatory supervision of the HKMA and maintains a comprehensive policy and governance agenda to ensure global and local regulatory alignment.JOB DESCRIPTION:* Deliver expert guidance on AML/CFT and Sanctions matters to internal business units.* Evaluate and approve h

COMPANY DESCRIPTIONA top tier insurance company is seeking a Financial Crime Compliance Senior Manager. The organisation leverages deep expertise in High Net Worth segments to drive sustainable grow across international markets. KEY DUTIES* Design, implement and maintain AML/CTF, sanctions and ABC guidelines* Serve as the main point of contact to the Group on compliance and risk advisory including daily operations and projects* Support the MLRO to evaluate

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

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.Our client is a well-established financial institution with a strong footprint in the Asia-Pacific region. Known for its stability and commitment to excellence, the bank offers a comprehensive suite of corporate and retail banking solutions. They are currently seeking a dedicated professional to enhance their operations and customer service delivery in the Hong Kong headquarters.about the team.about the team. You will be joining a collabo

about the company.Our client is a reputable Corporate Bank and they are looking for a KYC Analyst to join the team.about the job.Manage the end-to-end KYC and CDD procedures, ensure the strict adherence to AML policies Manage periodic review, trigger events and perform risk assessments in line with the banks' KYC and AML policies and proceduresServe as first line of defence and ensure the accuracy and completeness of client data and documentationAct as the

about the company.Our client is a well-established international banking group with a significant presence in the Hong Kong retail market. Known for its stability and commitment to digital transformation, the bank offers a collaborative environment where employees are encouraged to streamline processes and contribute to large-scale system enhancement initiatives.about the team.You will lead a dedicated team within the Loans Administration Department. The t

about the company.Our client is a Top-Tier Swiss Financial Institution that stands as one of the largest private banking groups in its home region of Basel and ranks among the elite global "pure-play" wealth managers. about the team.You will join a sophisticated and entrepreneurial team of bankers who operate as business partners. The culture is flat and agile, allowing for direct access to senior decision-makers and rapid credit approvals. The team is sup

We are exclusively mandated by a leading Global Private Bank to identify an elite Senior Investment Counsellor for their high-growth China Offshore team. This role leverages a powerhouse Investment Banking (CIB) platform to deliver institutional-grade solutions to the most successful Mainland Chinese families and entrepreneursabout the company.Our client is a premier Global Private Bank renowned for its "One Bank" philosophy, seamlessly integrating Corpora

Are you a high-performing RM looking to transition into a pure-play Private Wealth environment without the pressure of cold hunting? Our client is a globally recognised Top-Tier Banking institution, now offering a rare "Farmer" mandate with a max HK$70k basic salary and competitive bonus. You will inherit and manage a sophisticated portfolio of existing HNW cross-border clients, focusing on relationship deepening and holistic wealth solutions.about the com

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