- Key ResponsibilitiesRegulatory Leadership: Act as the primary point of contact for the Securities and Futures Commission (SFC), managing all licensing applications, on-site inspections, and ongoing regulatory correspondence.Framework Design: Develop, implement, and oversee a comprehensive compliance program covering SFC Type 1 (Dealing in Securities) and Type 7 (ATS) regulated activities.AML/CTF Oversight: Serve as the Head of Compliance/ Chief ComplianceKey ResponsibilitiesRegulatory Leadership: Act as the primary point of contact for the Securities and Futures Commission (SFC), managing all licensing applications, on-site inspections, and ongoing regulatory correspondence.Framework Design: Develop, implement, and oversee a comprehensive compliance program covering SFC Type 1 (Dealing in Securities) and Type 7 (ATS) regulated activities.AML/CTF Oversight: Serve as the Head of Compliance/ Chief Compliance
- An exceptional opportunity has arisen for a high-calibre Securities Services professional to lead a premier client management function within a top-tier commercial banking institution in Hong Kong. This pivotal role requires an expert in custody, fund accounting, and post-closing deal administration to drive service excellence, oversee complex portfolios, and lead a high-performing team in alignment with HKMA market standards.about the company.Our client iAn exceptional opportunity has arisen for a high-calibre Securities Services professional to lead a premier client management function within a top-tier commercial banking institution in Hong Kong. This pivotal role requires an expert in custody, fund accounting, and post-closing deal administration to drive service excellence, oversee complex portfolios, and lead a high-performing team in alignment with HKMA market standards.about the company.Our client i
- An exceptional opportunity has arisen for a high-calibre Securities Services professional to lead a premier client management function within a top-tier commercial banking institution in Hong Kong. This pivotal role requires an expert in custody, fund accounting, and post-closing deal administration to drive service excellence, oversee complex portfolios, and lead a high-performing team in alignment with HKMA market standards.about the company.Our client iAn exceptional opportunity has arisen for a high-calibre Securities Services professional to lead a premier client management function within a top-tier commercial banking institution in Hong Kong. This pivotal role requires an expert in custody, fund accounting, and post-closing deal administration to drive service excellence, oversee complex portfolios, and lead a high-performing team in alignment with HKMA market standards.about the company.Our client i
- This role sits within the specialized Asia Compliance branch of a premier, privately held global asset manager.Key Core ResponsibilitiesTrade Monitoring & Overrides: Conduct daily real-time pre-trade and post-trade compliance reviews across diverse fund mandates and account structures to ensure adherence to strict investment guidelines and policies.Information Barrier Management: Administer the front-office Information Barrier and wall-crossing protocols,This role sits within the specialized Asia Compliance branch of a premier, privately held global asset manager.Key Core ResponsibilitiesTrade Monitoring & Overrides: Conduct daily real-time pre-trade and post-trade compliance reviews across diverse fund mandates and account structures to ensure adherence to strict investment guidelines and policies.Information Barrier Management: Administer the front-office Information Barrier and wall-crossing protocols,
- about the company.Our client is one of Asia’s largest brokerage and financial services groups. With a strong regional footprint and a reputation for excellence, they provide a comprehensive suite of financial services to corporate, institutional, and retail clients, backed by robust regulatory standards and innovative technology.about the team.You will join an established, collaborative, and fast-paced client data management team. The team culture focusesabout the company.Our client is one of Asia’s largest brokerage and financial services groups. With a strong regional footprint and a reputation for excellence, they provide a comprehensive suite of financial services to corporate, institutional, and retail clients, backed by robust regulatory standards and innovative technology.about the team.You will join an established, collaborative, and fast-paced client data management team. The team culture focuses
