Posted on: 2018-11-07

Job type: Permanent

Sector: Financial Services

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Our client is a leading Chinese Investment Bank based in Hong Kong looking to grow out it's Compliance team.


Our client is a leading Chinese Investment Bank with a range of financial services functions catering to retail, high net worth clients and institutional clients. They are looking for a(n) Associate / Senior Associate in it's regulatory compliance function, based in Hong Kong.


* Liaise with SFC and handle enquiries about license applications
* Complete the new compliance regular tasks and coordinate with different departments
* Establish and control the new compliance checking
* Monitor the trading patterns of the targeted SFC license representatives
* Develop compliance trail and responsible for documentation
* Identify and generate new potential compliance risks


* Bachelor Degree or above in Accounting, Economics, Finance, Law or relevant discipline
* A minimum of 3 years relevant experience in Securities companies or Investment Bank.
* SFC License experience is a must
* ACCA/HKICPA qualification preferred
* Hands on compliance review experience in brokerage, AML, staff dealings
* Independent, detail minded, able to manage multiple projects with good presentation and demonstration skills
* Good communication skills, fluent in both English and Mandarin

To apply please click on the "Apply" button or contact Steven Sin at quoting ref no. HK142412. Your interest will be treated in strict confidence.
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Apply for Associate/Senior Associate, Regulatory Compliance
Reference: HK142412

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