Compliance jobs in Banking & Financial Services

We are hiring a legal & compliance professional to join a global financial institution.

This position seeks a Compliance Manager (Associate) with expertise in the banking industry focusing on regulatory compliance duties. The ideal candidate will possess a strong understanding of financial regulations and a track record of promoting ethical and compliant business operations.

This role will report directly to their CEO whilst working in a standalone compliance role. This role will be responsible for all compliance matters with a strong focus on mutual funds-public funds side.

We are seeking a detail-oriented Compliance Associate / Manager to join our team. The successful candidate will be responsible for all compliance matters including AML and regulatory compliance matters.

If you have at least 5 years of accounting experience at a sizable firm, and have good language skills and are interested in a compliance analyst at a leading hotel, this is the job,

This role will report directly to the Head of Hong Kong whilst managing the legal and compliance team. This role will be the MIC of Compliance and AML.

Our client is an Investment Bank with a well-established private wealth management division. Currently, they are looking for a Compliance Analyst to join their team to handle onboarding and AML duties.

This role will report directly to the HK and China Head of Compliance whilst working with several colleagues in other jurisdictions. This role will be responsible for all business and investment compliance matters.

This role will be their Head of Compliance for their insurance business. This role will cover both regulatory and AML duties whilst managing a small team.

We are seeking a motivated and vigilant Compliance Team Head/ Head of Compliance to oversee and manage compliance issues within our organization, ensuring that our company, staff, and clients are complying with internal policies and regulations.

This is a senior level role for VP/Director Compliance in a global securities firm, based in HK Island. The position requires the candidate to provide global markets compliance advisory for fixed income products.

Our client is a top American Investment/ Private Bank and they are currently looking for a Compliance Analyst/ KYC Analyst to join the Global Financial Crimes PWM business to handle KYC/ CDD, client onboarding, SOW, review high risk client profiles, SOW corroboration and provide AML advisory. The candidate should have at least 2 years of working experience in KYC/ CDD, client onboarding, SOW, compliance within private banking industry.

Senior Compliance Officer - Large Chinese Firm, SFC 149

Senior Compliance Manager - MSO licensed firm, Welcome Big4

Our client is a top American Investment/ Private Bank and they are looking for a KYC Analyst to join their client onboarding team to handle KYC/ AML, client onboarding, periodic review, trigger event for IBD/ institutional/ high net worth/ PB clients. The candidate should have 2-5 years of working experience in AML, KYC/CDD, account opening for IBD/ institutional/ PB/ HNW clients within international banks.

We are seeking a diligent and detail-oriented CDD Officer to join a global platform in Hong Kong.

A Client Onboarding Analyst role has opened up in a Swiss Private Bank. This role will assist Client Documentation team to handle name screening, data capture, client documentation review for private banking clients. The candidate should have 2-5 years of working experience in client onboarding, account opening, name screening, client documentation review, data entry for PB/HNW clients within private banking, immediately available candidates preferred.

Our client is a top American Investment Bank and they are looking for an EDD Analyst to join the Institutional Securities Group Enhanced Due Diligence team under Global Financial Crimes department to handle EDD, financial crime risk assessment, AML review and screening for high risk institutional customers. The candidate should have 1-2 years of working experience in EDD, KYC/ CDD, AML review for FI clients within investment banking/ financial institutions.

Our client is a top American Investment Bank and they are looking for Client Services Trainee to join the private wealth management division to handle account opening, KYC documentation and trade executions for Ultra High Net Worth clients. The candidate should have 1-2 years of working experience in ARM/ account opening/ client onboarding for private/ corporate banking clients. Fresh graduates are welcomed.

Seeking a dedicated AML Advisory Team Head to lead their AML advisory team whilst managing a small team. The role requires expertise in managing compliance risks, advising on AML/CFT matters, and delivering effective solutions.

Our client is one of the largest US investment banks that mainly provides investment and wealth management services. The department is currently looking for an AML Monitoring Analyst to handle private wealth management and securities group client with focus in AML screening, monitoring and investigation. The successful candidate should have relevant of working experience in AML/ fraud sector within banking industry.

Our client is a top American Investment Bank and they are currently looking for a Alert Screening Associate to join the International Global Financial Crimes Investigations team to handle alert screening, adverse media reviews, sanctions reviews and transaction monitoring. The candidate should have 2-3 years of working experience in alert screening investigations, adverse media review within investment banking/ private banking/ private wealth management.

Our client is a top Japanese investment bank and securities firm. They are looking for an Onboarding Associate to join the Onboarding team to handle client onboarding, client facing duties for FI, institutional/ corporate clients in HK and SG markets. The candidate should have 3-5 years of experience in client onboarding/ client servicing within international corporate investment bank/ securities firm/ brokerage firm.

Our client is a top financial institution in Hong Kong and they are currently looking for a role of FCC/ AML/ Compliance Analyst/ Associate to conduct AML/ sanction compliance review, risk assessment, policies and procedures review, remediation projects and investigations. The candidate should have at least 1-4 years of working experience in AML/ FCC/ sanction, compliance review, internal audit within FI/banking industry/ Big 4 accounting firms.

Our client is a top Japanese investment bank and securities firm. They are looking for a KYC/CDD Associate to join the KYC team to handle KYC onboarding, periodic review and screening for FI, institutional and corporate clients in HK & SG markets. The candidate should have at least 3 years of working experience in KYC/ CDD, onboarding, periodic review, screening for FI clients at international corporate investment bank/ securities firm/ brokerage firm.

This role will report to the Head of Compliance whilst managing their AML team. The AML team consists of AML advisory and Transaction Monitoring staff.

The Insurance Sales Director (RO) role in a fast-growing Insurtech company in Hong Kong involves a multifaceted set of responsibilities focused on strategic growth, regulatory compliance, and business development. Below is a rephrased and concise elaboration of the provided responsibilities, tailored to the Hong Kong Insurtech context, keeping it clear and professional.

An exciting opportunity for an Assistant Accounting Manager to lead a talented finance team in FMCG. The successful candidate will be responsible for overseeing daily operations, developing financial strategies, and ensuring regulatory compliance.