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3 results for Head Of Compliance Chief Compliance Officer

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The Company

My client is a leading financial institution committed to maintaining the highest standards of regulatory compliance and ethical business practices. We are looking for an experienced Senior IBD Compliance Officer to join our Compliance team and support our Investment Banking Division (IBD).

The Role

Provide strategic compliance guidance to investment bankers and senior management on regulatory requirements, policies, and best practices.
Ensure adherence to global and regional regulatory frameworks, including SEC, FINRA, FCA, MiFID II, and other relevant financial regulations.
Develop, implement, and enhance compliance policies and procedures to mitigate regulatory and reputational risks.
Conduct compliance risk assessments and proactively identify areas for improvement.
Review and approve client communications, deal-related materials, and marketing documents to ensure compliance with regulatory standards.
Oversee conflicts of interest management, including information barriers, insider trading prevention, and restricted lists.
Lead compliance training programs for investment bankers and relevant stakeholders on key regulatory topics.
Monitor and conduct surveillance of IBD activities, identifying and escalating potential compliance breaches.
Support regulatory inquiries, audits, and examinations, ensuring timely and accurate responses.
Collaborate with legal, risk management, and other compliance teams to maintain a robust compliance framework.

Your Profile

Bachelor's degree in Finance, Law, Business, or a related field; an advanced degree or relevant certifications (e.g., CAMS, CFA, JD, or FINRA licenses) is a plus.
10+ years of compliance experience within investment banking, capital markets, or a regulatory agency.
Strong knowledge of investment banking regulations, including SEC, FINRA, FCA, MiFID II, and other global regulatory frameworks.
Proven experience in advising senior stakeholders and handling complex compliance matters.
Excellent analytical and problem-solving skills, with the ability to assess regulatory risks and provide practical solutions.

Apply Today

To apply online (Word attachment only), please click the 'Apply' button. Please note that only short-listed candidates will be contacted.

Reference No. 67010-0013177993

By clicking 'apply', you give your express consent that Robert Half may use your personal information to process your job application and to contact you from time to time for future employment opportunities. For further information on how Robert Half processes your personal information and how to access and correct your information, please read the Robert Half privacy notice: https://www.roberthalf.com.hk/privacy-statement. Please do not submit any sensitive personal data to us in your resume (such as government ID numbers, ethnicity, gender, religion, marital status or trade union membership) as we do not collect your sensitive personal data at this time.

3 results for Head Of Compliance Chief Compliance Officer

Vice President- IBD Compliance The CompanyMy client is a leading financial institution committed to maintaining the highest standards of regulatory compliance and ethical business practices. We are looking for an experienced Senior IBD Compliance Officer to join our Compliance team and support our Investment Banking Division (IBD). The Role<ul><li>Provide strategic compliance guidance to investment bankers and senior management on regulatory requirements, policies, and best practices.</li><li>Ensure adherence to global and regional regulatory frameworks, including SEC, FINRA, FCA, MiFID II, and other relevant financial regulations.</li><li>Develop, implement, and enhance compliance policies and procedures to mitigate regulatory and reputational risks.</li><li>Conduct compliance risk assessments and proactively identify areas for improvement.</li><li>Review and approve client communications, deal-related materials, and marketing documents to ensure compliance with regulatory standards.</li><li>Oversee conflicts of interest management, including information barriers, insider trading prevention, and restricted lists.</li><li>Lead compliance training programs for investment bankers and relevant stakeholders on key regulatory topics.</li><li>Monitor and conduct surveillance of IBD activities, identifying and escalating potential compliance breaches.</li><li>Support regulatory inquiries, audits, and examinations, ensuring timely and accurate responses.</li><li>Collaborate with legal, risk management, and other compliance teams to maintain a robust compliance framework.</li></ul> Your Profile<ul><li>Bachelor's degree in Finance, Law, Business, or a related field; an advanced degree or relevant certifications (e.g., CAMS, CFA, JD, or FINRA licenses) is a plus.</li><li>10+ years of compliance experience within investment banking, capital markets, or a regulatory agency.</li><li>Strong knowledge of investment banking regulations, including SEC, FINRA, FCA, MiFID II, and other global regulatory frameworks.</li><li>Proven experience in advising senior stakeholders and handling complex compliance matters.</li><li>Excellent analytical and problem-solving skills, with the ability to assess regulatory risks and provide practical solutions.</li></ul> Apply Today To apply online (Word attachment only), please click the 'Apply' button. Please note that only short-listed candidates will be contacted. Reference No. 67010-0013177993 By clicking 'apply', you give your express consent that Robert Half may use your personal information to process your job application and to contact you from time to time for future employment opportunities. For further information on how Robert Half processes your personal information and how to access and correct your information, please read the Robert Half privacy notice: https://www.roberthalf.com.hk/privacy-statement. Please do not submit any sensitive personal data to us in your resume (such as government ID numbers, ethnicity, gender, religion, marital status or trade union membership) as we do not collect your sensitive personal data at this time.<img src="https://counter.adcourier.com/QWRhLkNoZXVuZy4xNzk1OS4xMDkxNUByaGloay5hcGxpdHJhay5jb20.gif">

Leading ibank - Client Onboarding Analyst (new headcount) The CompanyA leading investment bank is expanding and hiring new talents. The new role will work closely with various internal stakeholders. This expansion reflects the firm's strategic growth in the securities market, aligning with broader industry trends where Chinese firms are increasingly shifting towards wealth management and international expansion. The front office roles will involve direct client interaction and revenue generation through deal fees and investment returns. The Role<ul><li>Oversee the Know Your Customer (KYC) and Customer Due Diligence (CDD) workflow for complete client account openings.</li><li>Ensure compliance with Anti-Money Laundering (AML), tax evasion, and Countering the Financing of Terrorism (CFT) regulations during onboarding and review processes.</li><li>Act as the primary liaison for internal stakeholders, including Sales, Middle Office, Compliance, FATCA team, and clients, regarding KYC documentation collection.</li><li>Conduct verification checks to ensure submitted documents align with the Customer Identification Program; draft and secure approvals for cases involving Politically Exposed Persons, sanctions, or adverse news.</li><li>Address issues arising from screening processes professionally and escalate exceptions to the Chief Operating Officer, Regional Head of AML, or Group Head of Compliance as needed.</li><li>Maintain an up-to-date database of all information, documents, financial reports, and news on accounts for Compliance, Legal, and Internal Audit.</li><li>Collaborate with Legal, Credit, and counterparties on ISDA/GMRA/GMSLA/EAM and distribution agreement negotiations, including execution paperwork.</li><li>Coordinate with Prime Services, Middle Office, and Credit for post-account setup.</li></ul> Your Profile<ul><li>Bachelor's degree in Business or Finance.</li><li>Strong written and verbal communication skills in English and Cantonese.</li><li>Familiarity with account-opening processes is essential.</li><li>Knowledge of financial markets, derivative instruments, and AML regulations, including SFC requirements for Hong Kong Professional Investors and MAS requirements for Singapore Accredited Investors, is preferred; knowledge of other regional regulations is a bonus.</li><li>Experience with handling Financial Institutions or High Net Worth Individuals is a plus.</li><li>Detail-oriented, diligent, independent, and able to thrive under pressure.</li><li>Self-motivated, eager to learn, and ready for new challenges.</li></ul> Apply Today To apply online (Word attachment only), please click the 'Apply' button. Please note that only short-listed candidates will be contacted.Reference Number: 67010-0013175908By clicking 'apply', you give your express consent that Robert Half may use your personal information to process your job application and to contact you from time to time for future employment opportunities. For further information on how Robert Half processes your personal information and how to access and correct your information, please read the Robert Half privacy notice: https://www.roberthalf.com.hk/privacy-statement. Please do not submit any sensitive personal data to us in your resume (such as government ID numbers, ethnicity, gender, religion, marital status or trade union membership) as we do not collect your sensitive personal data at this time.<img src="https://counter.adcourier.com/QW5keS5jaG93Ljg5NDg4LjEwOTE1QHJoaWhrLmFwbGl0cmFrLmNvbQ.gif">

Compliance Manager The CompanyMy client, a leading hedge fund manager, is currently seeking a Compliance Manager to enhance and support their Legal and Compliance functions. This role offers an excellent opportunity to work in a dynamic and fast-paced environment, ensuring the firm's adherence to regulatory requirements and industry best practices. The Role<ul><li>Assist the Legal and Compliance teams with their operations and initiatives.</li><li>Manage, refine, and strengthen the firm's global compliance monitoring and surveillance frameworks to uphold adherence to relevant regulations.</li><li>Track and support the implementation of regulatory updates across multiple jurisdictions, including HK SFC, US SEC, Japan FSA, and the Cayman Islands Monetary Authority.</li><li>Oversee the firm's compliance policies and procedures by maintaining documentation, conducting internal audits, and performing compliance gap analyses.</li><li>Prepare and submit regulatory filings, reports, and notifications to authorities such as HK SFC, US SEC, and other applicable entities.</li><li>Keep records and conduct surveillance of the firm's trading and business activities, covering areas such as:</li><li>Support the development and organization of compliance training materials, assist in conducting training sessions, and help compile legal research across different jurisdictions.</li></ul> Your Profile<ul><li>Bachelor's degree in Law, Finance, or Business Administration from an accredited university (Law degree preferred).</li><li>Proficiency in both spoken and written English is essential; Japanese language skills (written and verbal) are an advantage.</li><li>At least two years of relevant experience in legal and/or compliance roles within a regulated financial institution or securities regulatory agency (e.g., HK SFC).</li><li>Prior experience in hedge funds or alternative investment firms is strongly preferred, along with familiarity with securities products.</li><li>Seeking a proactive and mature candidate with strong analytical abilities, excellent communication skills, and the capacity to handle multiple tasks independently in a fast-paced environment.</li><li>Highly detail-oriented with a strong focus on accuracy.</li><li>Must be capable of professionally engaging with regulators and industry peers, including representing the firm at industry events.</li></ul> Apply Today To apply online (Word attachment only), please click the 'Apply' button. Please note that only short-listed candidates will be contacted. Reference No. 67010-0013179811 By clicking 'apply', you give your express consent that Robert Half may use your personal information to process your job application and to contact you from time to time for future employment opportunities. For further information on how Robert Half processes your personal information and how to access and correct your information, please read the Robert Half privacy notice: https://www.roberthalf.com.hk/privacy-statement. Please do not submit any sensitive personal data to us in your resume (such as government ID numbers, ethnicity, gender, religion, marital status or trade union membership) as we do not collect your sensitive personal data at this time.<img src="https://counter.adcourier.com/QWRhLkNoZXVuZy44MTkwMi4xMDkxNUByaGloay5hcGxpdHJhay5jb20.gif">