CLIENT BACKGROUND
A leading financial institution is seeking an Advisory Compliance Associate to join its Hong Kong office. This is an excellent opportunity for compliance talent looking to step into a tier‑1 banking environment with strong regional exposure and a stable platform. The role sits within a well‑established compliance function supporting secondary‑market activities across the APAC region.
JOB RESPONSIBILITY
- Provide day‑to‑day advisory support to business lines involved in secondary‑market activities, ensuring adherence to relevant regulatory requirements and internal compliance standards.
- Assist in reviewing, interpreting, and communicating regulatory updates to stakeholders, contributing to effective risk management and governance.
- Support the development and enhancement of compliance policies, procedures, and controls relating to securities trading and brokerage activities.
- Work closely with front‑office teams to address compliance queries, potential breaches, and business initiatives.
- Participate in internal investigations, monitoring activities, and ad‑hoc compliance projects to strengthen the control framework.
JOB REQUIREMENTS
- Minimum 3 years of compliance experience gained from securities firms, brokerages, or investment banks.
- Strong understanding of Hong Kong regulations and secondary‑market activities.
- Stable career history with proven ability to support advisory matters in a fast‑paced environment.
- Excellent communication skills with the ability to engage stakeholders at various levels.
- Mandarin or Cantonese proficiency is required.
