Compliance jobs in Banking & Financial Services

We are looking for an experienced all-rounded compliance professional with ideally a strong background in professional services firms and/or start-up environments.

This role is hiring for an Assistant Compliance Manager for a leading insurance firm in Hong Kong.

The Compliance Associate will play a key role in ensuring regulatory adherence and supporting the legal & compliance department.

The Compliance Policy & Regulatory Affairs Manager will play a crucial role in ensuring adherence to regulatory requirements and maintaining robust compliance frameworks within the business.

The Compliance Specialist role focuses on ensuring adherence to regulatory requirements and internal policies within the professional services industry. This position offers an excellent opportunity to contribute to compliance initiatives in one of the top US FI firm.

This role sits within the compliance function and is responsible for overseeing restricted securities controls in support of direct and fund investment activity. The position partners closely with investment teams to ensure adherence to information‑barrier, MNPI and regulatory requirements.

This role requires an experienced compliance professional to act as a key second-line advisor, partnering with business units to align internal controls, mitigate product risks, and ensure adherence to banking regulations. You will also oversee the impact of new laws, manage regulatory inquiries, and review operational policies to safeguard the bank's compliance framework.

This role will play a key role in reviewing, negotiating, and managing legal documentation to support client onboarding and derivatives activities for APAC Wealth Management.

• Strong operational excellence in Business services (fund admin, co sec, trust)
• Set strategy, lead operations, drive efficiency, growth, governance, compliance globally.
• Partner with board, build leadership, optimize performance
• Prior experience working with Private Equity Fund

This role is responsible for identifying, monitoring and preventing AML and fraud risks across multiple banking products and platforms.

We are seeking an AML Analyst to join an international law firm in Hong Kong to support their growing compliance team in Asia.

As the Head of Internal Audit, you will lead the internal audit function, ensuring compliance, risk management, and operational efficiency. This role requires expertise in auditing within the not-for-profit sector and a focus on providing strategic insights to the organization.

This exciting opportunity as a Dealer (Type 1 RO, MIC) in the financial services industry involves overseeing trading operations and ensuring regulatory compliance. The role is based in Hong Kong and requires expertise in banking and financial services.

The Investment Director - Type 9 RO (L/S Equity) will oversee portfolio management and investment strategies within the financial services sector. This role requires expertise in long/short equity and regulatory compliance to drive successful investment outcomes.

The Risk Manager will oversee risk management processes and ensure compliance with internal and external regulations within the financial services industry. This role requires a proactive individual to identify, assess, and mitigate risks effectively.

The Loan Operations Officer will play a vital role in supporting the banking and financial services department by managing loan operations efficiently. This position requires attention to detail and a focus on ensuring accuracy and compliance in daily tasks.

The Treasury Analyst will play a key role in managing financial operations, ensuring compliance, and analyzing data to optimize treasury functions. This position is ideal for professionals looking to build a successful career in the financial services industry.

• Prior experience managing finance, operations, risk and compliance teams
• Chief Operating Officer & Chief Financial Officer (COO & CFO) - Private Equities & Hedge Funds

This team head will oversee and manage the trade finance services function, ensuring efficient operations and compliance with regulatory requirements.

• Execute multi-asset fixed income trades ensuring liquidity pricing and compliance
• Partner with investment teams insights managing relationships and improving processes

This is an exciting opportunity for a VP - Internal Audit professional to take on a critical role in the Banking industry. The position focuses on delivering top-tier accounting and finance expertise while ensuring compliance and operational efficiency.

This is an exciting opportunity in FCC and Transaction Monitoring within the financial services industry. The role focuses on supporting compliance and transaction monitoring activities in Hong Kong.

The role of Underwriting Manager with a General Insurance (GI) focus requires expertise in assessing and managing insurance risks while ensuring compliance with company policies. This position offers an opportunity to contribute to a leading insurance provider in Central District.

Our client is a well-established investment bank. This role sits within the Client Account Maintenance function and supports the ongoing maintenance of client accounts in line with internal policies, global standards, and local regulatory requirements, working closely with Legal, Compliance, and Financial Crime teams.

As an Associate, Trade Finance Operations (Import), you will be responsible for managing trade finance transactions and ensuring compliance with regulatory standards. This role is ideal for professionals with expertise in trade finance within the financial services sector.

Hiring company is a family office with SFC 1,4,9 license.

This position is based in Hong Kong and requires expertise in managing and optimizing operational processes to ensure efficiency and compliance.

The Operations Officer will support the Banking & Financial Services department by managing operational processes and ensuring compliance with industry standards.

This role in the financial services industry requires attention to detail and a commitment to operational excellence.

The VP, Middle Office (Equities) will oversee the operational and trade support functions within the equities division, ensuring seamless processes and compliance with industry standards. This role requires a strong background in financial services, particularly within banking and financial services in Hong Kong.

The VP, Middle Office (FICC) will play a crucial role in managing and overseeing middle-office operations within the Financial Services industry. This position requires a strong understanding of fixed income, currencies, and commodities (FICC) to ensure smooth operational processes and compliance with regulatory standards.

This role will be managing and overseeing derivatives processes within the financial services industry. The successful candidate will contribute to the efficient functioning of derivatives operations while ensuring compliance with regulatory standards.