8 results for Regulatory Compliance Assistant Manager Banking jobs

Senior Manager, Distribution Compliance

Hong Kong,
remote
Permanent
75000 - 85000 HKD / Monthly
The CompanyWe are seeking an experienced Senior Manager, Distribution Compliance for a leading life insurance company in Hong Kong. This role will be responsible for ensuring regulatory compliance across all distribution channels, with a focus on the Insurance Authority (IA) requirements, AML regulations, and other relevant financial services regulations. The RoleRegulatory Compliance & Advisory:<ul><li>Interpret and implement IA regulations, guidelines, and circulars</li><li>Provide timely and practical compliance advice to all distribution channels (agency, bancassurance, broker, digital)</li><li>Monitor regulatory developments and assess impact on distribution practices</li></ul> Policy & Procedure Development:<ul><li>Develop and maintain compliance policies, procedures, and controls tailored to different distribution channels</li><li>Implement robust compliance monitoring programs for distribution activities</li><li>Review marketing materials, sales illustrations, and customer communications for compliance</li><li>Ensure all distribution channels (including individual agents, insurance agencies and brokers) are kept abreast of updated regulatory requirements and provide compliance related training to all distribution channels.</li></ul> Monitoring & Surveillance:<ul><li>Conduct regular compliance reviews, thematic audits, and ad-hoc checks of distribution channels</li><li>Monitor sales practices, incentive schemes, and customer complaints for compliance risks</li><li>Implement and manage surveillance systems for detecting and addressing compliance breaches</li></ul> Reporting & Liaison:<ul><li>Prepare accurate regulatory reports and submissions to the IA</li><li>Act as primary compliance contact for regulatory inquiries related to distribution</li><li>Report to senior management, Risk Committee, and board on compliance matters, trends, and issues</li><li></li></ul> Your Profile<ul><li>Degree holder, preferably in the disciplines of Business / Accounting / Law.</li><li>Minimum of 10 years' experience in handling compliance matters.</li><li>Solid compliance knowledge on distribution compliance.</li><li>Responsible, proactive with attention to details and be able to work independently.</li><li>Able to provide constructive compliance advice.</li><li>Ability to work under pressure.</li><li>Strong interpersonal skills and good communication skills to communicate with agents/distributors and regulators in both English and Chinese.</li><li>Good command of written and spoken English and Chinese</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: 67010-0013347780By 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: <a href="https://www.roberthalf.com/hk/en/privacy">https://www.roberthalf.com/hk/en/privacy</a>. 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/S2ltYmVybHkuY2hhbi40NTk5OS4xMDkxNUByaGloay5hcGxpdHJhay5jb20.gif">
2026-01-08T06:44:42Z

Equity Trade Support Assistant Manager (up to 70K)

Central, Central and Western District
remote
Permanent
50000 - 70000 HKD / Monthly
The CompanyMy client is a leading global institutional trading and investment platform that connects financial institutions with deep, high‑quality liquidity across global markets. It provides advanced electronic execution solutions designed for large, complex trade sizes while minimizing market impact. With a long‑established global network spanning multiple continents, the firm supports equity, fixed‑income, and multi‑asset trading through innovative technology, analytics, and an agency‑only model that prioritizes transparency and efficiency. Now part of a major global financial group, it continues to enhance institutional execution through data‑driven insights, advanced algorithms, and access to broad, natural liquidity pools. The RoleTrade processing and settlement: Ensure all client trades are processed accurately and submitted promptly to custodians, providing day‑to‑day operational support to internal stakeholders.Pre-matching with counterparties: Conduct pre-matching with market and client counterparties to minimize settlement breaks and facilitate timely trade completion.Commission management and reconciliation: Handle monthly commission claims and perform reconciliations across multiple markets, ensuring accuracy and timely resolution of discrepancies.Trade allocation and confirmation: Manage trade collection, allocation, confirmation issuance, and uploads to clearing banks, ensuring seamless internal trade processing.Client onboarding and static data management: Oversee the full onboarding lifecycle and maintain accurate client static data, ensuring smooth setup and adherence to internal controls.Issue resolution and stakeholder coordination: Identify workflow bottlenecks, coordinate with internal/external teams, communicate resolutions to clients, and escalate issues when required.Regulatory and tax reporting: Prepare and complete daily and monthly regulatory, tax, and exchange reporting, ensuring compliance across all jurisdictions.Analytics and reporting: Create and maintain operational statistics for members, including trade allocations, pre-match rates, fail rates, and other key metrics.Process improvement and system enhancements: Propose new procedures, participate in system enhancement initiatives, and drive productivity improvements and STP (straight‑through processing).Project ownership (UAT & enhancements): Take responsibility for assigned projects, including UAT, system development, workflow upgrades, and departmental initiatives.Reconciliations oversight: Ensure timely completion of daily, weekly, and monthly reconciliations to support accurate reporting for senior management.CSA (Commission Sharing Agreements) management: Coordinate CSA requests, working closely with internal teams and client stakeholders to ensure proper setup and processing. Your Profile<ul><li>10+ years of experience in trade support or trade operations</li><li>Knowledge of Cash Equities is preferred</li><li>Familiarity with sell-side and/or buy-side trading floor environments and support functions</li><li>Hands-on experience with middle- and/or back-office processing systems</li><li>Understanding of APAC settlement life cycles</li><li>Strong verbal and written communication skills</li><li>Quick learner with strong enthusiasm and adaptability</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. 67010-0013374556By 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: <a href="https://www.roberthalf.com/hk/en/privacy">https://www.roberthalf.com/hk/en/privacy</a>. 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/QW5keS5jaG93LjM4NzA0LjEwOTE1QHJoaWhrLmFwbGl0cmFrLmNvbQ.gif">
2026-01-30T07:34:35Z

Head of Compliance (International Asset Management)

Central and Western District, Central and Western District
remote
Permanent
120000 - 200000 HKD / Monthly
The CompanyOur client is an International Asset Management firm and looking for a Head of Compliance leading their central compliance functions. The RoleKey Responsibilities and Qualifications<ul><li>Ensure compliance with all applicable laws and regulatory requirements locally.</li><li>Develop and implement compliance policies and procedures, compliance manuals and other relevant documents for the local entity to meet the requirements of SFC.</li><li>Conduct relevant local regular reporting, notification, application to regulatory authorities accordingly.</li><li>Assess emerging issues and risks and promptly escalate issues to HK CEO, HK and Group Compliance.</li><li>Report compliance activities and audits to HK Compliance and the Board.</li><li>Ensure appropriate corrective actions are taken for deficiencies in the CMS and/or non-compliance.</li><li>Develop, implement and maintain an up-to-date AML/CFT policy that complies with applicable regulations.</li><li>Conduct regular risk assessments to identify and mitigate money laundering and terrorism financing risks.</li><li>Ensure timely and accurate reporting of suspicious activities to relevant authorities.</li><li>Carry out and ensure the implementation of customer due diligence (CDD) and enhanced due diligence (EDD) procedures.</li><li>Conduct KYT due diligence reviews in a timely manner and suggest potential action points.</li><li>Maintain comprehensive records of all AML/CFT activities and reports.</li></ul> Your Profile<ul><li>At least 5 years experience in Compliance functions in SFC Type 1, 2, 4, 5, 9 licensed corporations within the financial services sector.</li><li>Knowledge and understanding of financial services regulations, compliance, policies, processes and procedures (Experience and knowledge in SFC Type 1, 2, 4, 5, 9 Regulation would be deemed essential).</li><li>Knowledge and experience of licensing of SFC would be deemed an advantage.</li><li>Proficiency in compliance applications and programmes such as Sumsub, Chainalysis etc.</li><li>Interest in blockchain and digital assets, and willingness to work with other teams in a highly collaborative start-up fintech environment.</li><li>Well organised, detail oriented, presentable and with excellent communication skills (both verbal and written) in English (Proficency in Mandarin would be deemed an advantage for internal communication, since the company is a multinational one with many Tech employees who can speak Chinese only).</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: 67010-0013352194By 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: <a href="https://www.roberthalf.com/hk/en/privacy">https://www.roberthalf.com/hk/en/privacy</a>. 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/amVzc2ljYS55ZXVuZy42NTgzNy4xMDkxNUByaGloay5hcGxpdHJhay5jb20.gif">
2025-12-16T05:36:44Z

A leading MNC ibank - Client Onboarding Associate (up to 40k)

Hong Kong,
remote
Contract
30000 - 40000 HKD / Monthly
The CompanyOur client is a leading investment bank and they are calling for an experienced client onboarding candidate to join the team. The Role<ul><li>Liaise with clients to gather required documentation and information for the onboarding process.</li><li>Conduct due diligence and ensure compliance with internal policies and regulatory standards.</li><li>Maintain accurate records of client onboarding status and documentation.</li><li>Collaborate with cross-functional teams, including legal and compliance, to resolve any onboarding issues.</li><li>Assist in the refinement of onboarding processes and systems to enhance client experience.</li><li>Provide timely updates to management on client onboarding progress and challenges.</li></ul> Your Profile<ul><li>Bachelor's degree in Finance, Business Administration, or related field.</li><li>1-3 years of experience in client onboarding, account management, or a related field, preferably in financial services.</li><li>Strong understanding of KYC (Know Your Customer) regulations and AML (Anti-Money Laundering) processes.</li><li>Excellent organizational and time management skills with a keen attention to detail.</li><li>Strong communication skills, both written and verbal, for effective client interaction.</li><li>Proficient in MS Office Suite (Excel, Word, PowerPoint) and familiarity with CRM systems.</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. 67010-0013327513By 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: <a href="https://www.roberthalf.com/hk/en/privacy">https://www.roberthalf.com/hk/en/privacy</a>. 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/QWxleC5MYXcuNDI0OTAuMTA5MTVAcmhpaGsuYXBsaXRyYWsuY29t.gif">
2026-01-29T03:30:39Z

Foreign ibank - Settlement Associate (Syndicate) - up to 50K

Central and Western District, Central and Western District
remote
Permanent
40000 - 50000 HKD / Monthly
The CompanyMy client is a reputable foreign investment bank. Due to expansion, they seek an experienced, independent professional to join the team to support the daily operations of the team. The Role<ul><li>Trade settlement and oversight - Ensure timely and cost-effective trade settlement, and SBL equity transactions, maintaining accuracy through close monitoring of daily trade activity.</li><li>Fail trade management - Identify, track, and proactively resolve failing trades; coordinate with brokers and custodians to minimize settlement risk and operational loss.</li><li>Reconciliation and exception management - Perform daily reconciliations of nostro and depot accounts, ensuring prompt investigation and resolution of breaks to maintain data integrity.</li><li>ECM syndicate support - Provide direct support for ECM syndicate activities across the trade lifecycle-from pre-launch preparations to post-completion settlements.</li><li>Regulatory and policy compliance - Maintain a strong understanding of regulatory requirements, internal controls, and governance frameworks to ensure timely escalation and remediation of compliance or control-related issues.</li><li>Issue escalation and communication - Proactively identify potential risks or delays, coordinate corrective actions, and escalate critical matters to senior management as needed.</li></ul><ul><li>Stakeholder and client interaction - Serve as a key liaison between clients, brokers, counterparties, and internal teams (including operations, risk, and technology) to ensure seamless trade settlement and issue resolution.</li></ul> Your Profile<ul><li>Degree in Accounting, Finance, or Economics</li><li>At least 5 years in trade settlement</li><li>Knowledge of CCASS</li><li>Strong knowledge of IPO settlement is an advantage</li><li>Excellent multitasking abilities across several initiatives; solid program management skills.</li></ul><ul><li>Risk-aware with a disciplined control mindset.</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. 67010-0013352189By 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: <a href="https://www.roberthalf.com/hk/en/privacy">https://www.roberthalf.com/hk/en/privacy</a>. 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/QW5keS5jaG93LjQ2MjUyLjEwOTE1QHJoaWhrLmFwbGl0cmFrLmNvbQ.gif">
2025-12-16T08:15:29Z

Compliance Analyst (FATCA / CRS) - 2 months contract

Central, Central and Western District
remote
Contract
25000 - 40000 HKD / Monthly
The Company We are seeking a detail‑oriented and proactive Compliance Analyst to support the company's regulatory obligations under FATCA (Foreign Account Tax Compliance Act) and CRS (Common Reporting Standard). The role focuses on reviewing customer tax documentation, conducting reasonable checks, and ensuring accurate regulatory reporting.The Role<ul><li>Ensure the company's full compliance with FATCA and CRS requirements, including classification, documentation, and reporting.</li><li>Review and validate Self‑Certification Forms, ensuring completeness, accuracy, and alignment with regulatory guidelines.</li><li>Conduct reasonable checks to verify the authenticity and consistency of tax residency information (e.g., cross-checking against onboarding documents, customer data, and red‑flag indicators).</li><li>Identify missing, invalid, or inconsistent information and follow up with internal teams or intermediaries for correction.</li><li>Maintain accurate and up‑to‑date records of documentation and regulatory evidence.</li><li>Support the preparation and submission of FATCA/CRS regulatory reports.</li><li>Assist in periodic internal reviews, process improvements, and compliance testing.</li><li>Provide advisory support to frontline and operations teams on FATCA/CRS documentation requirements.</li><li>Stay updated on evolving FATCA/CRS regulations and ensure operational procedures are updated accordingly.</li></ul> Your Profile<ul><li>Bachelor's degree in Finance, Business, Law, Compliance, or related discipline.</li><li>1-3 years of experience in compliance, regulatory reporting, operations, or financial services preferred. (Insurance experience is a plus.)</li><li>Strong understanding of FATCA and CRS regulatory requirements.</li><li>High attention to detail with strong analytical and documentation review skills.</li><li>Proactive, organized, and able to work independently in a fast-paced environment.</li><li>Good communication skills and ability to work with internal stakeholders.</li><li>Proficient in MS Office (Excel, Word).</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.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: <a href="https://www.roberthalf.com/hk/en/privacy">https://www.roberthalf.com/hk/en/privacy</a>. 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/Q2Fyb2wuRmFuLjY4Nzc3LjEwOTE1QHJoaWhrLmFwbGl0cmFrLmNvbQ.gif">
2026-01-30T08:02:21Z

Compliance Officer - Top Global Hedge Fund

Central and Western District, Central and Western District
remote
Permanent
50000 - 60000 HKD / Monthly
The CompanyOur client, a leading APAC-focused over billion USD size AUM hedge fund, is looking to hire a Compliance Officer. This is an excellent opportunity to join a stable and collaborative team in a well-established firm with a strong track record. The role will involve ensuring the firm's compliance with regulatory requirements while maintaining robust internal controls. The Role<ul><li>Serve as the primary contact for regulatory inspections and investor due diligence inquiries.</li><li>Design, implement, and maintain internal control frameworks to ensure compliance with SFC, SEC, and CIMA regulations.</li><li>Oversee SFC licensing matters, including license applications, Annual Returns, Short Position Reporting etc.</li><li>Manage SEC filings as required.</li><li>Draft and review compliance policies and legal documents, including fund PPMs, brokerage agreements, investment agreements, and marketing materials.</li><li>Ensure full compliance by integrating investment restrictions and sanction lists into the trading system.</li></ul> Your Profile<ul><li>Minimum 6 years of compliance experience, ideally from similar buy-side hedge fund environment OR compliance consultancy serving hedge fund clients</li><li>Strong knowledge of SFC Type 9 licensing requirements and other relevant regulatory frameworks.</li><li>Experience with both SFC and SEC filings is highly desirable.</li></ul><ul><li>Fluency in English is essential. </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. 67010-0013374559By 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: <a href="https://www.roberthalf.com/hk/en/privacy">https://www.roberthalf.com/hk/en/privacy</a>. 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/S2VsbHkud29uZy44NjY2MS4xMDkxNUByaGloay5hcGxpdHJhay5jb20.gif">
2026-01-30T07:46:07Z

Senior Accountant/ Accountant (Buyside) - up to 55k

Central and Western District, Central and Western District
remote
Permanent
30000 - 55000 HKD / Monthly
The CompanyMy client, a well-established MNC buyside is seeking a highly motivated and detail-oriented Accounting & Finance Associate to join our regulatory reporting team in Hong Kong. The ideal candidate will be a proactive individual with strong integrity, capable of working both independently and collaboratively to meet critical deadlines in a fast-paced environment. Accountant: 30,000 HKD - 35,000 HKD x 12, with bonusSenior Accountant: 50,000 HKD - 55,000 HKD x 12, with bonus The Role<ul><li>Core Functional Duties (FRR, 1, 4, 9):<ul><li>FRR (Financial Reporting & Reconciliation):Assist in preparing financial statements (Balance Sheet, Income Statement, Cash Flow Statement) and perform regular bank reconciliations to ensure accuracy and compliance.</li><li>1 (General Ledger & Period-End Closing):Maintain and update the general ledger, including processing journal entries and performing account reconciliations to support accurate monthly and annual financial closes.</li><li>4 (Audit, Tax & Compliance Coordination):Collaborate with auditors and manage queries related to audit and tax processes for various entities. Liaise with the company secretary to maintain statutory records.</li><li>9 (Client Account Management & Analysis):Review and analyze management accounts for client entities. Investigate monthly and annual variances and coordinate with external service providers to ensure the quality and timeliness of deliverables.</li></ul></li><li>Accounting Operations:<ul><li>Support the delivery of management reports for group entities.</li><li>Handle invoice processing and expense logging.</li><li>Manage queries and documentation to ensure timely delivery of monthly accounts.</li><li>Ensure data integrity between accounting systems and other operational departments.</li><li>Participate in ad-hoc accounting, financial activities, and projects as required.</li></ul></li></ul> Your Profile<ul><li>Bachelor's degree or higher in Accounting, Finance, or a related discipline.</li><li>Professional accounting qualification (e.g., CPA, ACCA) is highly preferred.</li><li>Minimum of 3-5 years of solid accounting experience</li><li>Experience within the Banking or Financial Services industry in Hong Kong is a strong advantage.</li><li>Strong knowledge of financial regulations, accounting principles, and reporting standards (IFRS or HK Reporting Standards).</li><li>High level of professional integrity, excellent analytical skills, self-motivated, detail-oriented, and able to perform under pressure to meet deadlines.</li><li>Strong collaboration and teamwork skills.</li><li>Proficient in MS Office (advanced Excel skills are essential)</li><li>Fluent in Chinese (Cantonese or Mandarin) and English</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. 67010-0013367282By 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: <a href="https://www.roberthalf.com/hk/en/privacy">https://www.roberthalf.com/hk/en/privacy</a>. 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/S2ltYmVybHkuY2hhbi40MDE4OS4xMDkxNUByaGloay5hcGxpdHJhay5jb20.gif">
2026-01-19T06:21:02Z