Compliance jobs in Banking & Financial Services

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

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

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.

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.

This position, SVP, Central Compliance involves ensuring the company's compliance with all relevant regulatory requirements with the SFC and HKEx. The role is based in Hong Kong, in the financial services industry, within the Compliance department.

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 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.

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 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

Senior Compliance Manager - MSO licensed firm, Welcome Big4

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.

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/ private banking clients within international banks.

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.

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

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.

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.

As an AML Manager/Senior Manager, you will play a key role in overseeing anti-money laundering compliance and ensuring adherence to regulatory requirements. You will mainly focus on AML systems projects related duties.

This is an opportunity to take on a leadership role as their Head of Financial Crime Compliance in the insurance industry. You will be responsible for leading a team across AML, sanctions, and ABC.

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.

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.