Compliance Jobs - page 10
278 open jobs
Advises trading and sales teams on FICC, equity, and derivatives compliance, while strengthening regional policies, monitoring, risk governance, and regulatory response programs.
Advises on regulatory requirements for insurance, MPF, and wealth management, reviewing products, marketing materials, and cross-border activity while developing compliance policies and awareness.
Provides regulatory guidance across financial products and markets, assessing new initiatives, reviewing marketing and cross-border activity, and developing compliance policies and training.
Oversees Hong Kong and North Asia regulatory compliance, serving as the SFC liaison and managing inspections, policies, supervisory procedures, and a small team.
Leads regional compliance operations, advises on Singapore regulations, manages regulator relationships and inspections, and maintains frameworks for a MAS-regulated business.
Leads risk-based compliance testing across business units, evaluates control effectiveness, escalates gaps, and coordinates remediation and reporting with senior stakeholders.
Leads EU compliance setup and regulatory authorization for a new trading venue, overseeing market rules, AML/CTF controls, regulator engagement, and alignment with global standards.
Oversees BSA/AML and OFAC compliance programs, including risk assessments, transaction monitoring, deposit operations, regulatory updates, and staff training.
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