Compliance AVP/VP - Investment Bank/Securities
CLIENT BACKGROUND
Our client is a well‑established financial institution with a strong regional presence, offering a broad range of investment and brokerage services. With expanding business lines across traditional and emerging asset classes, the firm is strengthening its compliance function in Hong Kong to support continued growth and uphold high regulatory standards.
JOB RESPONSIBILITY
The successful candidate will serve as a key compliance advisor to front‑office and operations teams, covering a wide spectrum of business activities. Core responsibilities include:
- Providing day‑to‑day regulatory and compliance advisory across brokerage, trading, and investment services.
- Assessing business initiatives and transactions to ensure alignment with Hong Kong regulations and internal compliance frameworks.
- Reviewing policies and procedures and recommending enhancements to strengthen risk management practices.
- Supporting regulatory enquiries, inspections, and reporting requirements as needed.
- Collaborating closely with internal stakeholders to promote a strong compliance culture and awareness of regulatory developments.
JOB REQUIREMENTS
- 3-10 years of compliance experience within financial institutions.
- Solid understanding of Hong Kong securities regulations and hands‑on experience supporting brokerage and trading businesses.
- Proven ability to provide practical compliance advice to front‑office and operational teams.
- Strong communication skills, with fluency in Mandarin or Cantonese required.
- Based in Hong Kong, with the ability to operate in a fast‑paced, multi‑product environment.
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