IBD Compliance - US PE Firm
About the Firm
Our client is a well-established financial services platform with a precense in US and Asia.The business is seeking an experienced Compliance professional to support front-office activities and provide practical regulatory advice across investment banking and capital markets businesses.
This is a highly visible role partnering closely with senior management, business stakeholders, and control functions, making it ideal for candidates who enjoy working in a dynamic, deal-driven environment.
Key Responsibilities
- Provide day-to-day compliance advisory support to investment banking, corporate finance, capital markets, and related business lines.
- Advise internal stakeholders on regulatory requirements, licensing matters, conflicts management, information barriers, and conduct risk.
- Review and assess transactions, marketing materials, client communications, and new business initiatives from a regulatory perspective.
- Monitor regulatory developments and assess their impact on the business.
- Assist with compliance monitoring, surveillance, and regulatory reporting obligations.
- Support regulatory inspections, audits, and enquiries from relevant regulatory authorities.
- Deliver compliance training and promote a strong compliance culture across the organization.
- Partner closely with Legal, Risk, Operations, and senior business stakeholders on governance and control initiatives.
Requirements
- Bachelor's degree in Law, Finance, Business, Accounting, or a related discipline.
- Approximately 5-10+ years of compliance experience gained within investment banking, corporate finance, capital markets, brokerage, or financial institutions.
- Solid understanding of Hong Kong regulatory requirements and compliance frameworks.
- Experience providing advisory support directly to front-office or deal teams.
- Strong stakeholder management and communication skills.
- Ability to work independently in a fast-paced, high-performance environment.
- Fluent English and Mandarin is required
What's on Offer
- Opportunity to work closely with senior management and business leaders.
- Broad exposure to investment banking and capital markets activities.
- Entrepreneurial and collaborative working environment.
- Competitive compensation package and long-term career progression opportunities.
FAQs
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