Compliance jobs in Banking & Financial Services

This role offers a unique opportunity to contribute to legal and compliance functions within the financial services industry. The Assistant Manager, Legal & Compliance will support the organization in ensuring adherence to regulatory requirements and maintaining high standards of governance.

This is a senior compliance role at a Chinese based fintech firm, where you'll provide regulatory guidance across trading, product, and cross-border activities. You'll act as the key liaison with the SFC, monitor regulatory changes, and collaborate with internal teams to ensure robust compliance frameworks.

This role involves providing compliance guidance across front, middle, and back office functions, managing regulatory inquiries, and supporting AML/CFT efforts and internal investigations. It requires strong knowledge of SFC regulations, securities products, and experience in general compliance within a bilingual, fast-paced financial environment.

This position provides strategic compliance guidance across my client's retail and institutional brokerage and global markets businesses. It involves advising on regulatory trends, shaping product compliance, enhancing internal controls, and leading AML/CFT efforts.

Our client is a top international Corporate and Investment bank, they are looking for a Compliance Associate to join the AML team to handle financial crime risk assessment, periodic review, EDD, regulatory compliance review for corporate/ FI clients. The candidate should have 4-5 years of working experience in KYC/ AML, compliance, periodic review, financial crime risk assessment for corporate/ FI clients within international banks/ financial institutions.

As a Compliance Officer, you will play a crucial role in ensuring compliance with legal and regulatory requirements while managing conflicts of interest. This position is ideal for someone with a strong understanding of professional services and a keen attention to detail.

We are looking for a mid-level compliance professional who has experience working in a law firm or professional firm environment.

This role involves managing regulatory compliance across multiple jurisdictions, including trade surveillance, policy maintenance, broker onboarding, and reporting to senior management and regulators. The ideal candidate will have over 7 years of buy-side experience, strong knowledge of global financial regulations, and fluency in English and Mandarin.

My client is seeking a Compliance Director/SVP in Hong Kong to lead regulatory initiatives for its expanding digital asset investment platform, including crypto hedge funds, DeFi strategies, and tokenized securities. The role combines deep expertise in traditional financial compliance with cutting-edge crypto knowledge to navigate global regulations and support product innovation across Hong Kong, Singapore, and the U.S.

This role will manage the entire compliance function for the business. This role will be the main point of contact with the SFC regulator.

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,

Focused on financial crime compliance and transaction monitoring within a legal and compliance team. The position involves investigating suspicious transactions, conducting AML screening, and supporting reporting and ad hoc compliance projects.

This role leads their compliance strategy for their Asia Pacific offices, overseeing regulatory, marketing, and deal-related compliance across Hong Kong, Singapore, and Australia. It offers global exposure, high-level stakeholder engagement, and the opportunity to shape compliance frameworks for one of the world's top private markets firms.

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.

Senior Compliance Officer - Large Chinese Firm, SFC 149

This role focuses on enforcing trading rules and conducting inspections to uphold market integrity across cash and derivatives markets. It also involves stakeholder engagement, data analysis, and supporting cross-border regulatory collaboration.

As the Head of AML, you will lead and manage the entire AML department across different AML functions. This role will be the AML 72B with the regulator.

This role involves monitoring and investigating client trading activities to detect potential market abuse, using surveillance tools and regulatory knowledge. It also includes reporting findings to compliance, contributing to risk control assessments, and supporting internal and external risk-related communications.

Our client is a top American Investment/ Private Bank and they are currently looking for an Onboarding Analyst to join their account onboarding team to handle end to end new account opening and client documentation review for HNW clients. The candidate should have 3-5 years of working experience in account opening, client onboarding, SOW review for HNW clients within private banking/ wholesale banking.

Our client is a top American Investment/ Private Bank and they are currently looking for a KYC Review Analyst to join their PWM account management team to handle KYC review, PEP/ EDD review, documentation review and account maintenance for HNW clients. The candidate should have 3-6 years of working experience in KYC periodic review, PEP/ EDD review, documentation review or account maintenance for HNW clients within private banking.

Our client is a top Japanese investment bank and securities firm. They are currently looking for a KYC/CDD Associate to join the KYC team to handle KYC/ CDD, periodic review and screening for FI, institutional and corporate clients in HK & SG markets. The candidate should have at least 3-5 years of working experience in KYC/ CDD, periodic review, screening for FI clients within international corporate investment bank/ securities firm/ brokerage firm.

Our client is one of the top leading Hong Kong banks that serves for over 3.5 million customers worldwide with over 80 years of history, they are currently looking for a role of Fraud Management Manager to handle fraud and project management. Candidate should have at least 3 years of working experience in fraud and project management field under banking or FI sector.

Our client is a top American Investment Bank and they are looking for a Client Services Associate to join their private wealth management division to handle client services, account opening, KYC documentation and trade executions for Chinese Ultra High Net Worth clients. The candidate should have 3-5 years of working experience in client servicing/ ARM/ account opening/ KYC documentation for UHNW, private banking/ institutional/ corporate banking clients.

We are seeking a Type 9 Responsible Officer (RO) to lead and oversee portfolio management and regulatory compliance within a financial services environment. This role offers an excellent opportunity to contribute to a growing team and ensure the highest standards of governance in the industry.

Join a leading player in the financial services industry as a Responsible Officer (Type 1 & 2). This role offers the opportunity to oversee critical operations and ensure compliance within a dynamic environment.

The Senior Analyst will oversee loan operations, ensuring efficiency and compliance within the banking and financial services industry. This role is based in Hong Kong and requires a detail-oriented professional with a strong understanding of loan operations

As the Head of IA, you will lead and oversee internal audit operations within the financial services industry. This role offers an opportunity to drive compliance and operational excellence in Hong Kong.

This role focuses on managing and monitoring liquidity risk within the ALM team at a bank. This position requires a proactive approach to identifying, assessing, and mitigating potential risks to ensure regulatory compliance and operational stability.

As a Fund Accounting - Associate, you will play a key role in ensuring compliance with internal controls and regulatory requirements. This position is ideal for someone passionate about the banking industry.

The Operations Director role at a quant fund in the financial services industry is pivotal to ensuring seamless operational efficiency and compliance. This position requires expertise in managing processes, optimizing workflows, and supporting trading operations.