Associate, Advisory Compliance (Securities & Brokerage)
CLIENT BACKGROUND
A leading financial institution is seeking an Advisory Compliance Associate to join its Hong Kong office. This is an excellent opportunity for compliance talent looking to step into a tier‑1 banking environment with strong regional exposure and a stable platform. The role sits within a well‑established compliance function supporting secondary‑market activities across the APAC region.
JOB RESPONSIBILITY
- Provide day‑to‑day advisory support to business lines involved in secondary‑market activities, ensuring adherence to relevant regulatory requirements and internal compliance standards.
- Assist in reviewing, interpreting, and communicating regulatory updates to stakeholders, contributing to effective risk management and governance.
- Support the development and enhancement of compliance policies, procedures, and controls relating to securities trading and brokerage activities.
- Work closely with front‑office teams to address compliance queries, potential breaches, and business initiatives.
- Participate in internal investigations, monitoring activities, and ad‑hoc compliance projects to strengthen the control framework.
JOB REQUIREMENTS
- Minimum 3 years of compliance experience gained from securities firms, brokerages, or investment banks.
- Strong understanding of Hong Kong regulations and secondary‑market activities.
- Stable career history with proven ability to support advisory matters in a fast‑paced environment.
- Excellent communication skills with the ability to engage stakeholders at various levels.
- Mandarin or Cantonese proficiency is required.
FAQs
Congratulations, we understand that taking the time to apply is a big step. When you apply, your details go directly to the consultant who is sourcing talent. Due to demand, we may not get back to all applicants that have applied. However, we always keep your resume and details on file so when we see similar roles or see skillsets that drive growth in organizations, we will always reach out to discuss opportunities.
Yes. Even if this role isn’t a perfect match, applying allows us to understand your expertise and ambitions, ensuring you're on our radar for the right opportunity when it arises.
We also work in several ways, firstly we advertise our roles available on our site, however, often due to confidentiality we may not post all. We also work with clients who are more focused on skills and understanding what is required to future-proof their business.
That's why we recommend registering your resume so you can be considered for roles that have yet to be created.
Yes, we help with resume and interview preparation. From customized support on how to optimize your resume to interview preparation and compensation negotiations, we advocate for you throughout your next career move.