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Associate, Compliance (Investment Bank)

Job description

Our client, a leading investment banking group, is looking to add an Analyst/Associate, Compliance to their expanding team.


Perform compliance reviews, risk monitoring, and internal control reviews for investment banking section

Handling day to day SFC compliance related matters, and license applications/filings etc

Ensure company policies are adhered to and provide staff training as required

Liaise with SFC/HKEx for inquiries and request

Other ad-hoc assignments as required


Degree holder in a related discipline

Preferably 3 years of compliance experience in securities/futures/broekrage industry

Requires knowledge of SFC, HKEx regulations

Solid command of English and Chinese

Interested parties, please reach out to or call 3103 4366 for a confidential discussion.

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