Associate, Compliance (SFC Licensed)

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

Responsibilities:

• 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

Qualifications:

• 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

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