Compliance jobs in Banking & Financial Services

The Investment & Insurance Compliance Manager is responsible for providing business advisory to their I&I business with a stronger focus on distribution of insurance products. This role will report directly to their Head of Regulatory Compliance.

As a Business Compliance Officer, you will ensure adherence to regulatory requirements and internal policies within the fintech industry. This role is based in HK and you will be the main contact person for compliance related projects between different teams within compliance.

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

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.

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

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.

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.

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.

Senior Compliance Officer - Large Chinese Firm, SFC 149

As Vice President of Licensing and Regulatory Affairs within the Compliance Department in Hong Kong, you'll lead strategic licensing initiatives and regulatory tracking across both institutional and individual levels. This role demands seasoned expertise in compliance, strong stakeholder engagement, and a commitment to building a culture of ethics and accountability.

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 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 Private Bank and they are looking for a Quality Assurance Analyst/ Associate to join their PWM Account Management project team to handle quality assurance testing/ compliance testing, validate and summarize QA results and thematic reviews. The candidate should have 2-4 years of working experience in quality assurance testing/ compliance testing/ compliance monitoring / audit / consulting within big 4 or private banking industry.

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.

Our client is a top American Investment/ Private Bank and they are looking for a KYC Analyst to join their Institutional Equity Division to handle KYC/ AML, client onboarding, periodic review, trigger event for investment banking/ institutional clients. The candidate should have 3-5 years of working experience in AML, KYC/CDD, account opening for investment banking/ institutional/ corporate/ commercial clients within international banks.

Our client is a top American Investment/ Private Bank and they are currently looking for a SOW Associate to handle source of wealth SOW corroboration and review, account profile analysis and KYC periodic review. The candidate should have 3-5 years of working experience in SOW narratives and corroboration review and analysis or account profile analysis with international private banking industry.

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.

The Assistant Branch Operations Manager will oversee daily branch operations, ensuring efficient workflows and compliance with regulatory requirements. This role is ideal for individuals with a strong background in banking operations and a focus on customer service excellence.

As a Manager within the KYC/CDD Department, you will oversee and enhance the KYC processes to ensure regulatory compliance within the financial services industry. This role is based in Hong Kong and requires a strong understanding of risk and compliance practices.

This position offers an exciting opportunity to lead and enhance Anti-Money Laundering (AML) policies and sanctions frameworks within the financial services industry. Based in Hong Kong, the role requires expertise in compliance and regulatory risk management to ensure the organization meets legal and industry standards.

Our client is one of the largest US investment banks that mainly provides investment and wealth management services. The department is currently looking for a KYC Analyst to ensure compliance with regulatory requirements while supporting the investment banking division KYC/CDD field. The successful candidate should have at least 1+ years of working experience in KYC or similar position.

As a Fraud Management Manager, you will oversee fraud prevention and detection strategies while ensuring compliance with regulatory standards.

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 Junior Fraud Operation Analyst to handle fraud operation and transaction monitoring for corporate clients. Candidate should have relevant of working experience in compliance field under banking or FI sector.

Lead the strategic development, execution, and growth of stablecoin products within a Web3 company, with a strong focus on compliance, risk management, and regulatory engagement, particularly with the Hong Kong Monetary Authority (HKMA). This role requires deep expertise in stablecoin ecosystems, blockchain technology, and proven experience working closely with HKMA or understanding its consultation paper on stablecoins.

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.