Compliance Advisory AVP/VP - Investment Bank
CLIENT BACKGROUND
A leading financial institution is expanding its Hong Kong compliance function and is seeking an experienced professional to join its Compliance Advisory team. The firm offers a dynamic environment with strong leadership support, regional exposure, and clear career progression opportunities. This position reports directly to the Head of Compliance Advisory.
JOB RESPONSIBILITY
- Provide day‑to‑day advisory support to front‑office businesses across securities, equities, FICC, and derivatives.
- Support the interpretation and implementation of regulatory requirements affecting trading, sales, and investment banking activities.
- Review new products, transactions, and business initiatives to ensure alignment with internal compliance standards and regulatory expectations.
- Monitor regulatory developments and contribute to thematic reviews, internal controls enhancements, and compliance projects.
- Act as a trusted partner to senior stakeholders, offering pragmatic compliance guidance while maintaining strong risk awareness.
- Assist in overseeing team functions, especially at VP level, ensuring high-quality advisory delivery and cross-team coordination.
JOB REQUIREMENTS
- Minimum 8 years of relevant compliance advisory experience within investment banking, securities brokerage, or other capital markets environments. Candidates with less experience will be considered for AVP.
- Solid understanding of regulatory frameworks related to securities, equities, FICC, and derivatives.
- Strong knowledge of Hong Kong regulatory requirements; exposure to regional regulations is advantageous.
- Excellent communication skills, with the ability to engage Chinese‑speaking stakeholders.
- Demonstrated ability to work independently in a fast-paced environment and provide commercially sound compliance advice.
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