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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.

Responsibilities:

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

Requirements:

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 elaine.chu@ambition.com.hk or call 3103 4366 for a confidential discussion.

If this job isn't quite right for you, but you know someone who would be great at this role, why not take advantage of our referral scheme? We offer HKD1000 in Apple gift cards for every referred candidate who we place in a role. Terms & Conditions Apply. https://www.ambition.com.hk/refer-a-friend