CLIENT BACKGROUND
Our client is a global financial institution with strong investment banking and capital markets capabilities. The firm maintains a robust compliance culture and offers opportunities for experienced professionals to contribute to high‑impact advisory and control functions.
JOB RESPONSIBILITY
- Provide compliance advisory support to Investment Banking and Capital Markets teams
- Oversee personal account dealing monitoring and employee trading controls
- Manage control room tasks, including wall‑crossing, information barriers, and maintaining restricted/watch lists
- Support research compliance reviews and publication controls
- Identify and escalate conflicts of interest and insider information risks
- Monitor regulatory developments and contribute to policy updates and training
JOB REQUIREMENTS
- 8+ years of experience in IBD or Capital Markets Compliance
- Strong knowledge of personal account dealing, control room operations, research compliance, insider trading risks, and list management
- Solid understanding of regional regulatory frameworks
- Excellent communication and stakeholder management skills
- Fluent in English and Cantonese
- Ability to work independently in a fast‑paced environment
