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Associate, Compliance (SFC Licensed)

Job description

Our client, a leading investment banking group, is looking for an Associate, Compliance to join their expanding team.


  • Assist in the development and implementation of compliance policies and procedures
  • Monitor and report on compliance issues and provide guidance to employees
  • Review and assess regulatory changes and ensure that the company's policies and procedures are updated accordingly
  • Conduct periodic reviews of the company's operations to ensure compliance with applicable laws and regulations
  • Develop and deliver compliance training programs to employees
  • Collaborate with other departments to ensure compliance with all applicable laws, regulations, and internal policies
  • Assist with regulatory exams and audits
  • Maintain accurate records and documentation related to compliance activities


  • Bachelor's degree in business, finance, or related field
  • 4+years of experience in compliance, preferably in a brokerage or financial institution
  • Knowledge of SFC, HKEX regulations
  • Strong analytical skills and attention to detail
  • Excellent communication and interpersonal skills

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