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Found 47 jobs
    • Luxembourg
    • Negotiable
    • Posted 3 days ago

    A renowned Swiss Private Bank is seeking a Compliance Officer to sit within the AML team to cover Luxembourgish and European policies and procedures. Our client has an international network spanning across 40 countries in 3 continents and manages assets for private clients globally, with their 3,...

    • Luxembourg
    • Negotiable
    • Posted 4 days ago

    An established and leading Super ManCo is seeking a qualified compliance officer to join their growing team in Luxembourg. This company provides multiple services including; Investment Management, Risk Management, Administration Services and Compliance Monitoring. They are seeking a proactive ind...

    • Berlin
    • €110000 - €140000 per annum
    • Posted 5 days ago

    Hauptaufgaben: Sie spielen eine wichtige Rolle bei allen rechtlichen und Compliance-Themen innerhalb des Unternehmens Sie arbeiten eng mit dem General Counsel und dem CCO zusammen. Sie haben eine strategische und beratende Position bei aufsichtsrechtlichen Themen wie z.B. MaRisk, WpHG, MaComp, Gw...

    • Hong Kong
    • Negotiable
    • Posted 6 days ago

    General job Description Report directly to the Head of Compliance (or COO for HF) regarding general compliance matters Update and improve the company's legal compliance policies and procedures Review the firm's various functions in compliance with regulatory requirements, identify regulatory risk...

    • Hong Kong
    • Negotiable
    • Posted 8 days ago

    Responsibilities General Compliance mandates Reviewing marketing materials Maintaining and developing the compliance program/policies (SFC) Conduct AML/CFT Sanctions related task Providing compliance advice to the business Compliance monitoring and liaising with regulators Requirement The success...

    • Luxembourg
    • Negotiable
    • Posted 10 days ago

    A highly renowned Swiss asset manager is seeking a Deputy Chief Compliance Officer to join a highly motivated and very diverse team of compliance professionals in Luxembourg. With around 50 billion of assets under management, our client has developed some of the best investment strategies designe...

    • Hong Kong
    • HK$800000 - HK$800001 per annum
    • Posted 10 days ago

    Job Responsibilities: Support daily investment operations including reconciliation, valuation check, corporate action handling, pricing and security data maintenance Handle the fund operations for SFC authorised funds and oversight of fund administrators Assist in internal KPI reporting and manag...

    • Hong Kong
    • Negotiable
    • Posted 12 days ago

    ABOUT Opening to join the compliance team in Hong Kong to support the law firm across Dubai, Hong Kong and Singapore. The work is focuses on AML/CFT and Sanctions work on new and existing clients. REQUIREMENTS The role will require a strong knowledge of the BVI, Cayman and Dubai AML/CTF law and g...

    • Hong Kong
    • Negotiable
    • Posted 12 days ago

    Duties: Analyse regulatory requirements and translate those requirements into compliance rules in the firms' compliance systems; Handle licensing/regulatory applications and regulatory filings required by SFC, SEC, NFA etc and ensure timely submission thereof; Conduct compliance review, monitorin...

    • Frankfurt am Main
    • €80000 - €110000 per annum
    • Posted 13 days ago

    As a Compliance officer, you will: Coordinate the global anti-financial crime and compliance risk analyses Create and develop internal guidelines and work instructions. Advise on conflicts of interest, especially in the area of employee compliance. Setting up the control room and dealing with iss...

    • Luxembourg
    • Negotiable
    • Posted 16 days ago

    A multinational Bank is seeking an AML/KYT Analyst to join a collaborate compliance team, where you would be reporting directly the conducting officer and work closely with a Senior AML oriented Compliance Officer. Our client is one of the largest financial services meaning they provide a wide ra...

    • Hong Kong
    • Negotiable
    • Posted 17 days ago

    Responsibilities: Assist in Corporate, Finance and Capital Markets matters Prepare, translate and draft Corporate documents including but not limited to share transfer form, consent to act, resignation letter Liaise with and communicate with external counsel and clients for due diligence and comp...

    • Luxembourg
    • Negotiable
    • Posted 17 days ago

    A leading asset manager is seeking a driven and open-minded senior compliance officer, who is seeking a role with huge potential to learn and grow into a role with more responsibility. Your tasks would vary greatly, and you would be reporting directly to the Head of Compliance. This role will ena...

    • Hong Kong
    • Negotiable
    • Posted 18 days ago

    Job Responsibilities Lead team to perform compliance functions and report directly to the head of APAC Compliance in Singapore To establish and modify AML/regulatory compliance framework Primary contact point with (SFC) on enquiries, questionnaires, inspection etc Review and approve fund distribu...

    • England
    • Negotiable
    • Posted 19 days ago

    Hauptaufgaben: Führung und Unterstüzung von drei Abteilungen Verantwortung für die strategische Entwicklung der verschiedenen Abteilungen sowie für die Implementierung und Entwicklung von Strukturen und Prozessen Sicherstellung, dass die Geschäftsaktivitäten mit allen relevanten Gesetzen und Vors...

    • Amsterdam
    • Negotiable
    • Posted 23 days ago

    A global prop trading firm is seeking an experienced senior compliance officer, to become responsible for all EU-based compliance activities for their hub in Amsterdam. Our client trade across a broad range of asset classes, instruments and strategies, in a number of financial markets across the ...

    • Luxembourg
    • Negotiable
    • Posted 24 days ago

    An established leading Super ManCo is seeking a qualified Compliance Officer in Luxembourg. Some of the company's services include; Investment management, Risk Management, Administration Services and Compliance Monitoring. As the Compliance Manager you will have an important role in onboarding an...

    • Hong Kong
    • Negotiable
    • Posted 24 days ago

    Job Responsibilities Act as the manager-in-charge (MIC) of Compliance, develop, maintain and review Legal & Compliance framework to ensure the company continually understands and meets the Hong Kong legal and regulatory requirements. Setting up compliance standards, policies, procedures and strat...

    • Hong Kong
    • Negotiable
    • Posted 24 days ago

    Job Responsibilities As an influential member of the team, you will carry out the Regulatory compliance monitoring programme on a risk-based approach. Below are the mainly objectives of your role: Develop, review and enforce compliance programmes in accordance with the policies and guidelines of ...

    • Hong Kong
    • Negotiable
    • Posted 25 days ago

    Responsibilities: Review and update compliance monitoring programmes and framework Formulate regulatory compliance review plans and facilitate regulatory reviews Act as subject matter in compliance monitoring policies and procedures Work with other departments in enhance compliance awareness inte...

    • Hong Kong
    • Negotiable
    • Posted 27 days ago

    Responsibilities: Advise internal business units across sales & trading, asset management and corporate finance from a legal perspective Draft and negotiate agreements and documents Advise and assist senior management on different regional initiatives and projects Works closely and advise externa...

    • Hong Kong
    • Negotiable
    • Posted 27 days ago

    Responsibilities Provide regulatory updates to the business units Review policies and procedures, compliance manuals in accordance with applicable regulations Provide support in dealing with regulators Trade and communications surveillance Required Degree holder with 3+ years of experience in com...

    • Netherlands
    • Negotiable
    • Posted about 1 month ago

    A rapidly growing Fintech in Amsterdam is currently hiring a KYC Officer, to join their enthusiastic and collaborative environment! Our client has a very diverse culture, employing over 1000 staff across more than 25 offices all over the world. Having been in the industry since 2009 and serving o...

    • Hong Kong
    • Negotiable
    • Posted about 1 month ago

    Job Responsibility Leading the compliance function in Hong Kong and being a trusted advisor to Partners, other fee earners, and business professionals. Report to, and liaise with, local regulators as appropriate Report directly to Head of International Compliance Job Requirement Qualified lawyer ...

    • Singapore
    • Negotiable
    • Posted about 1 month ago

    Responsibilities: Advise Sales, Structuring and Trading team on the legal aspect of equity derivatives transactions, securities financing transactions, hedging transactions, etc Draft and review OTC and collateral agreements including ISDA Master Agreement and Credit Support Annex Advise jurisdic...

    • Singapore
    • Negotiable
    • Posted about 1 month ago

    Responsibilities: Advise Sales, Structuring and Trading team on the legal aspect of equity derivatives transactions, securities financing transactions, hedging transactions, etc Draft and review OTC and collateral agreements including ISDA Master Agreement and Credit Support Annex Advise jurisdic...

    • Luxembourg
    • Negotiable
    • Posted about 1 month ago

    A leading Swiss asset manager is seeking a compliance officer to join a highly motivated team of compliance professionals in Luxembourg. With around 50 billion of assets under management, our client has developed some of the best investment strategies designed for both institutional clients and t...

    • Negotiable
    • Posted about 1 month ago

    Requirements for this In-House Legal Counsel - Renewable Energy role A bachelor's degree in Law 5 to 10 years of relevant experience - ideally from a Renewable firm or law practice Able to work both independently and as part of a team Strong communication skills and highly adaptable Able to work ...

    • Beijing
    • Negotiable
    • Posted about 1 month ago

    Responsibilities: Provide legal advice to business units on data privacy requirements Develop and improve internal data privacy framework and policies to enhance data integrity Draft and review documents related to personal data transfer across jurisdictions Coordinate with external counsels in d...

    • Hong Kong
    • Negotiable
    • Posted about 1 month ago

    Responsibilities: Advise investment teams on transaction execution across APAC including drafting, reviewing, and negotiating legal documentation associated with investment and divestment activities of the group Coordinate and manage legal aspect of the group's investment fund raising and fund op...

    • Luxembourg
    • Negotiable
    • Posted about 1 month ago

    A consulting firm in tremendous develop is seeking a Compliance Manager to help developing the compliance department further. This consulting firm is serving numerous banks and investment fund managers within their Compliance, Audit and Risk departments, both on short- and long-term basis. You wo...

    • Hong Kong
    • Negotiable
    • Posted about 1 month ago

    RESPONSIBILITIES: * Managing a portfolio of clients regulated by the SFC, SEC and other global regulators * Preparing compliance manuals and other related policies and procedures * Setting up the compliance infrastructure and assisting ongoing compliance monitoring * Undertaking periodic complian...

    • Luxembourg
    • Negotiable
    • Posted about 2 months ago

    A renowned Super ManCo is hiring an AML/CFT compliance officer. Our client has over 20 years of experience within the investment fund industry, continuing to offer excellent services in assisting fund managers, wealth managers, and private banks. The company always thrives and continues to not ju...

    • Germany
    • €135000 - €170000 per annum
    • Posted about 2 months ago

    One of America's most exciting crypto start-up's are branching out into the European market. In the role, you will: Be an expert for the global company on all compliance issues. Assist with the licensing agreements for the German/European markets Design new frameworks for AML and Regulatory frame...

    • Luxembourg
    • Negotiable
    • Posted about 2 months ago

    A leading Swiss Private Banking group headquartered in Zurich is seeking a highly qualified Compliance Officer in Luxembourg. The three business lines that they manage are Private Banking, Investment Advice and Asset Management - with more than 3,000 employees worldwide in around 40 locations! As...

    • London
    • Negotiable
    • Posted about 2 months ago

    An industry recognised liquidity provider and market maker who has grown from 3 to 50 people since 2017 is seeking an MLRO compliance officer to sit in their recently established London office. Our client are currently active on over 80 exchanges globally. They strive to operate at the highest st...

    • London
    • Negotiable
    • Posted about 2 months ago

    A European MTF is seeking an experienced indices/benchmarks compliance officer, to join their EMEA in London. Our client trade across a number of financial instruments across Europe such as cash bonds, repos, credit default swaps and interest rate swaps. If you are seeking an opportunity within a...

    • Hong Kong
    • Negotiable
    • Posted about 2 months ago

    Job Description: Pre and post trade monitoring using the Bloomberg System Report directly to the Head of compliance whilst working alongside other colleagues Be a part of the investment compliance team looking at trades and suitability checks Job Requirement: At least 7 years of Investment Compli...

    • Hong Kong
    • Negotiable
    • Posted about 2 months ago

    Job Description: Provide compliance advice to Front Office Sales team Review and standardise sales and marketing materials from product and regulatory perspectives and ensure information was not exaggerated/mislead Primary contact point with regulators (SFC and HKEx) on enquiries, questionnaires,...

    • Hong Kong
    • Negotiable
    • Posted about 2 months ago

    Job Description: Maintain the daily working relationship with SFC and other regulatory bodies Perform compliance review planned in the annual compliance review plan Perform the annual assessment of internal controls governing sponsor work. Monitor and track the remediation actions suggested in th...

    • Hong Kong
    • Negotiable
    • Posted about 2 months ago

    Job description: Assist to maintain the AML/ CFT control and governance framework AML transaction monitoring Maintain and timely update operational manuals and guidelines related to AML/ CFT to be line with local law, regulation or Group policy Conduct quality assurance Job requirement: bachelor ...

    • Hong Kong
    • US$600000 - US$600001 per annum
    • Posted about 2 months ago

    Job Description: Advise departments on compliance matters and support business initiatives Update company's policies and procedures according to the regulatory changes Responsible for regulatory reporting and inquires with external regulators Develop, manage and carry out compliance testing Revie...

    • Amsterdam
    • Negotiable
    • Posted about 2 months ago

    A Multinational Bank is seeking an KYC officer to join a multicultural team working in multiple locations with an international clientele. Our client is one of the leading banks on a global scale and is always looking for bright talent and can provide them with the opportunities to develop within...

    • Luxembourg
    • Negotiable
    • Posted about 2 months ago

    A Multinational Bank is seeking a KYC officer to enter a multicultural team working in multiple locations with an international perspective. Our client is one of leading bank on a global scale and is always looking for bright talent and can provide them with the opportunities to develop within th...

    • Luxembourg
    • Negotiable
    • Posted about 2 months ago

    A leading multinational corporate services provider is seeking a AIFM Compliance Manager to play a key role within the fund-oriented compliance team. This role would include a great variety of tasks from AML/CTF to regulatory compliance focusing on fund services across a variety of clientele and ...

    • Luxembourg
    • Negotiable
    • Posted about 2 months ago

    A well-established and multinational third-party management company and a leading digitally driven platform within the Global Asset Management industry is seeking an MLRO/RC. Our renowned client is well trusted by a great variety of financial institution including leading asset managers, pension ...

    • Frankfurt am Main
    • €70000 - €85000 per annum
    • Posted about 2 months ago

    One of the worlds largest banks are currently searching for an expert in Anti-Financial Crime to join their team for a global-perspective role. As an AFC Officer in this Global Team, you will: Support the Global Head of AFC-led correspondent Banking Deep-dive into the inner workings of correspond...

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