CLIENT BACKGROUND A well-established investment bank with a strong footprint across Asia is seeking a dynamic and detail-oriented compliance professional to join its Hong Kong office. Known for its robust governance framework and commitment to integrity, the firm offers a collaborative environment and long-term career development opportunities.
JOB RESPONSIBILITY - Provide compliance advisory support to the Equities and Fixed Income, Currencies & Commodities (FICC) trading desks.
- Monitor trading activities to ensure adherence to internal policies and external regulatory requirements.
- Conduct surveillance and investigations into potential market misconduct, including insider trading and market manipulation.
- Assist in the development and enhancement of compliance policies, procedures, and controls.
- Liaise with regulators and internal stakeholders on compliance-related matters.
- Support regulatory reporting and contribute to internal compliance training initiatives.
JOB REQUIREMENTS - 4-10 years of relevant experience in market compliance, ideally within an investment banking or securities trading environment.
- Strong understanding of Hong Kong and regional regulatory frameworks (e.g., SFC, HKEX).
- Familiarity with Equities and FICC products and trading practices.
- Excellent analytical, communication, and stakeholder management skills.
- Ability to work independently and collaboratively in a fast-paced environment.
- Fluency in English; Cantonese or Mandarin is advantageous.
