Regulatory Compliance Associate - Investment Bank

Job Title: Regulatory Compliance Associate - Investment Bank
Contract Type: Permanent
Location: Hong Kong
Salary: Negotiable
Reference: 45351_1612775596
Contact Name: Jessie Chan
Contact Email:
Job Published: February 08, 2021 17:13

Job Description

About The Client

My client is a leading investment bank which provides a wide range of financial services including securities brokerage, corporate finance and asset management to domestic and international clients. They are seeking for a committed and high calibre candidate with 1-3 years of experience to join their Regulatory Compliance team.

About The Role

  • Coordinate and liaise with regulatory authorities on enquiries, reporting, inspection or investigation
  • Undertake regular compliance monitoring reviews
  • Monitor the trading patterns of the targeted SFC license representatives
  • Response to the enquiry of the clients
  • Identify, pursue and generate new potential compliance risks
  • Keep track of regulatory requirements, review and update internal control policies


  • Degree in Law, Finance, Business, or relevant field
  • At least 1 to 3 years of relevant experience in Securities companies or IBank
  • Ability to organize well, attend to details, work under pressure
  • Positive attitude with good interpersonal and communication skills
  • Proficiency in written and spoken English and Chinese (including Cantonese and Mandarin)

Click "Apply Now" to apply for this position or call Jessie Chan at +852 3180 4945 for a confidential discussion. All information collected will be kept in strict confidence and will be used for recruitment purpose only.