Senior Compliance Associate Job at Orbis Consultants (London)

Senior Compliance Associate

As a Senior Compliance Officer based in our Hong Kong office, you’ll help ensure...

Location

China , Hong Kong

Salary:

Not provided

Susquehanna International Group

Expiration Date

Until further notice

Requirements

8+ years of experience in markets Compliance
Excellent oral, written, and interpersonal communication skills with the ability to communicate complex information to all levels of the firm
Exhibit a strong solution focused approach which leads to timely resolutions
Tertiary qualified and IT literate
Professional or industry qualifications preferred
Knowledge of Asia regulatory developments and compliance issues
Understanding of Hong Kong Securities and Futures Ordinance and SFC Licence regime
Knowledge of other markets e.g. AU/US/EU preferred
Knowledge of exchange trading rules, regulations and associated market practices
Excellent writing and communication skills to contribute and write compliance policy and procedures relevant to compliance, risk and IT areas

Job Responsibility

Develop and oversee programs and systems to ensure compliance with market rules, regulations and internal policies across Susquehanna's APAC trading businesses
Review trading systems, development and testing of systems and controls
Support trading activity from the point trades are executed through post trade analysis to verify that the firm is meeting all of its regulatory requirements
Provide training and guidance on financial markets and products, trading strategies (e.g. short selling)
Liaising with technology teams to contribute to design, development and documentation of compliance and risk specific IT applications
Development of compliance monitoring to ensure trading systems operation and behaviour are working as expected
Working collaboratively with colleagues in our Asia Pacific, USA and Europe locations, in support of all relevant strategic business initiatives
Liaise with regulators and exchanges (primarily Hong Kong)
Develop and maintain strong relationships with industry stakeholders to stay abreast of key regulatory changes and best practices in surveillance and review

Senior Compliance Associate

Are you an experienced compliance professional with a strong background in finan...

Location

United Kingdom , London

Salary:

Not provided

Orbis Consultants

Expiration Date

Until further notice

Requirements

Minimum 5 years’ compliance/risk experience within general insurance
Strong knowledge of financial crime regulations and the FCA Handbook
Familiarity with the Lloyd’s market is highly desirable
Experience reviewing and negotiating TOBAs
Detail-oriented, collaborative, and confident in managing competing priorities

Job Responsibility

Conduct sanctions and financial crime checks on new and renewing business
Research UK and international regulatory frameworks, sanctions regimes, and market developments
Review and negotiate TOBAs and other trading agreements
Support horizon scanning and regulatory reporting
Assist with sign-off of financial promotions and marketing materials
Provide training and guidance to business teams

Senior Associate – Compliance Solutions

The Senior Associate within the Waystone Compliance Solutions Services function ...

Location

Singapore , Singapore

Salary:

Not provided

Waystone Governance Ltd.

Expiration Date

Until further notice

Requirements

Minimum of 2-3 years’ experience in asset management / financial services compliance for MAS regulated entities
Must be able to work in a fast-paced
Fluent in English (written and spoken)
Proficient in MS Office (Word, Excel, Outlook, and Teams)
Minimum university or equivalent education

Job Responsibility

Be directly responsible for providing ongoing compliance support services to a portfolio of clients
Strong attention to details and keen on delivering quality work
Strong interpersonal and communication skills (both written & verbal)
Relationship Management - Provide service excellence to internal and/or external clients
A team player, enthusiastic, and self-motivated
Analytical skills - collect and analyze information, problem-solving, and make decisions under minimal supervision
Commercial awareness and understanding of business environments
Assisting with AML screening of customers and conducting risk assessments in a timely manner
Providing day-to-day support to clients and colleagues in executing AML and other compliance related matters for clients
Develop, initiate, maintain, and revise policies and procedures to ensure compliance with various regulatory requirements

Fulltime

Senior Associate - Compliance Solutions

Reporting to the reporting to the Managing Director, the Senior Associate will b...

Location

United States , New York

Salary:

Not provided

Waystone Governance Ltd.

Expiration Date

Until further notice

Requirements

2-4 years’ experience working in financial services as an accountant, back-office professional, compliance department staff, paralegal, or high-level administrative associate
Candidates must have excellent English language skills, excelling in both written and oral communication
Experience with Microsoft Office including excellent Excel skills is desirable
Strong analytical skills are a must. Candidates must display the ability to analyze and interpret basic data with a keen eye for detail
Waystone employees must be self-starters with strong independent motivation and the ability to thrive in an independent work environment
An internationally recognized professional qualification.

Job Responsibility

Maintain Code of Ethics programs for clients
Assist consultants with annual review obligations, including electronic communications surveillance
Assist with the preparation of regulatory correspondence including SEC, CFTC, and SRO examinations and inquiries
Assist with the preparation of regulatory filings such as Form ADV, Section 13 filings, Form PF, Form PQR, among others
Conduct regular reviews of compliance programs including anti-money laundering
Some travel may be required (<10%)

Fulltime

Senior Associate - Compliance Solutions

Reporting to the Managing Director, the Senior Associate will be an integral par...

Location

United States , Chicago

Salary:

Not provided

Waystone Governance Ltd.

Expiration Date

Until further notice

Requirements

2-4 years' experience working in financial services as an accountant, back-office professional, compliance department staff, paralegal, or high-level administrative associate
Candidates must have excellent English language skills, excelling in both written and oral communication
Experience with Microsoft Office including excellent Excel skills is desirable
Strong analytical skills are a must. Candidates must display the ability to analyze and interpret basic data with a keen eye for detail
Waystone employees must be self-starters with strong independent motivation and the ability to thrive in an independent work environment
An internationally recognized professional qualification.

Job Responsibility

Maintain Code of Ethics programs for clients
Assist consultants with annual review obligations, including electronic communications surveillance
Assist with the preparation of regulatory correspondence including SEC, CFTC, and SRO examinations and inquiries
Assist with the preparation of regulatory filings such as Form ADV, Section 13 filings, Form PF, Form PQR, among others
Conduct regular reviews of compliance programs including anti-money laundering
Some travel may be required (<10%)

Fulltime

Compliance Senior Associate

Senior Associate – Anti-Financial Crime (AFC) / KYC. We’re partnering with a lea...

Location

United States , Boston

Salary:

90000.00 - 110000.00 USD / Year

Daley and Associates

Expiration Date

Until further notice

Requirements

2–4 years of AML/KYC or financial crime compliance experience
Strong knowledge of global AFC/AML regulations (including the Bank Secrecy Act)
Experience with sanctions frameworks and risk-based KYC/CDD processes
Ability to analyze risk and navigate complex ownership structures
Highly detail-oriented with strong organizational skills
Bachelor’s degree required
CAMS or similar certification is a plus

Job Responsibility

Support and enhance the firm’s AFC / KYC program across investors, counterparties, and portfolio companies
Conduct due diligence, ongoing monitoring, and risk assessments
Review complex ownership structures to identify ultimate beneficial owners
Perform sanctions and adverse media screening (OFAC, EU, UK HMT, etc.)
Partner cross-functionally with Legal, Operations, and external counsel
Assist in maintaining policies, procedures, and internal systems
Escalate high-risk matters and support investigations as needed

Fulltime

Legal & Compliance Senior Associate

The Legal & Compliance Senior Associate will support the organization’s legal an...

Location

United States , NYC

Salary:

140000.00 - 160000.00 USD / Year

Savvy Wealth

Expiration Date

Until further notice

Requirements

5–8 years of experience in legal or compliance roles specifically within the Registered Investment Advisor (RIA) space (BD experience a plus)
Deep familiarity with SEC regulatory portals and reporting requirements
Bachelor’s degree in Law (LLB), Paralegal Studies, or a related field
The ability to handle confidential information with absolute discretion while building trust across Product, Sales, and Ops teams
Strong proficiency in Google Workspace and modern compliance management tools

Job Responsibility

Assist in drafting, reviewing, and managing contracts, agreements, and legal documents
Maintain contract databases and ensure proper documentation and record-keeping
Support senior legal counsel on corporate and regulatory matters
Monitor compliance with applicable laws, regulations, and internal policies
Assist in implementing and updating compliance frameworks and procedures
Support regulatory filings, audits, and inspections
Track regulatory changes and assess their impact on the business
Assist in drafting, reviewing, and updating internal policies and codes of conduct
Support corporate governance activities, including board and committee documentation
Help ensure adherence to internal controls and risk management processes

What we offer

Competitive salary and equity package
Unlimited PTO + paid company holidays
Access to holistic medical, dental, and vision plans
Company 401(k), Commuter, and HSA/FSA plans
NYC office in the heart of Manhattan
Lunch and snacks provided in the office
Access to virtual mental health care (Spring Health), vision related benefits (XP Health), and health concierge (Rightway) to help you find the right care
Access to counseling for stress management, dependent care, nutrition, fitness, legal, and financial issues (Guardian WorkLifeMatters EAP)

Fulltime

Senior Compliance Associate I

The Sr. Compliance Associate I will utilize their skills to hosts customer and r...

Location

United States , San Diego

Salary:

40.92 - 46.04 USD / Hour

PCI Pharma Services

Expiration Date

Until further notice

Requirements

Bachelor's Degree in a Life Sciences discipline or equivalent relevant experience required
Minimum of 6 years of relevant QA experience in a regulated industry
At least two (2) years relevant experience of manufacturing in a GMP environment or Drug Product Manufacturing Preferred
Advanced-level understanding of regulatory requirements related to aseptic drug product manufacturing and testing
Knowledge and hands on experience with QMS data management software such as ACE, Track Wise, Master Control, ETQ, etc.
Highly effective in collaborating with internal and external customers, leading improvement projects, and training team members on internal and external auditing
Detail-oriented with strong organizational skills

Job Responsibility

Leads customer audits, collaborates with Subject Matter Experts to address audit findings, and tracks the customer audit program for continuous improvement
Supports vendor management program, occasionally conducts on-site and paper audits, and establishes Quality Agreements
Supports the execution of internal audit program
Supports risk management program
Supports the continuous improvement of the Quality Management System
Reviews and approves quality management system standard operating procedures (SOPs)
Reviews and approves deviation reports and CAPAs related to quality systems
Generates quality system metrics for management review meetings
Trains team members on conducting internal and external audits
Regular and reliable attendance on a full time basis

What we offer

Paid time off
Health insurance coverage (including dental and vision)
Flexible spending account
401(k) plan
Eligibility for an annual performance bonus

Fulltime

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