Equities Compliance Associate/AVP

Client Background
Our client is a well-established Chinese financial institution with a strong equities business in Hong Kong. They are looking to hire a compliance professional to support their growing team.

Job Responsibilities

• Provide compliance advice to the Equities business
• Ensure compliance with SFC and HKEx regulations
• Conduct trade surveillance and compliance monitoring
• Handle regulatory inquiries and reporting
• Review internal policies and support compliance training

Job Requirements

• 5+ years of compliance experience in financial institutions
• Strong experience in Equities business (cash equities / equity derivatives)
• Legal qualification required (LLB, LLM, JD or equivalent)
• Good knowledge of Hong Kong regulations (SFC, HKEx)
• Experience in compliance advisory or trade surveillance
• Strong communication skills; English and Chinese required