Associate/Senior Compliance for Investment Banking Dept (5-7 years experience)

Job Title: Associate/Senior Compliance for Investment Banking Dept (5-7 years experience)
Contract Type: Permanent
Location: Hong Kong
Salary: Negotiable
Reference: GL090317-1
Contact Name: Grace Liu
Contact Email:
Job Published: May 10, 2017 17:59

Job Description

Our client, a global financial institution/Restricted License Bank, is now seeking a high calibre candidate to join their team.

Job Summary

Ÿ   Support Investment Banking Department maintain an effective compliance and control system, administrate all functional documentation and crucial / statutory records to meet the business objectives and legal compliance.


Specific Duties & Responsibilities

Ÿ KYC due diligence

Ÿ  Coordinate Self-Assessment and Sarbanes-Oxley program with internal departments

Ÿ   Coordinate regular trainings related to compliance issues including Money Laundering, Personal Data Protection, etc. 

Ÿ   Maintain an effective compliance and control system by updating directorship and company chart, anti-terrorist financing sanction list, registers of customers’ compliant, JFIU, ICAC, HKPF in compliance with HK Monetary Authority, SFC registration or other statutory requirements.

Ÿ   Maintain proper filing of updated company policies and procedures.

Ÿ   Keep abreast with the banking related legislations and other regulations, assist to identify any compliance risks and measures.

Ÿ   Provide administrative support to the department.

Ÿ   Strictly adhere to the Company policies, procedures and ethical requirements, ensure the operation of daily activities are ethically and legally complied.

Ÿ   Support and participate in various ad hoc assignments or projects.



Ÿ   Minimum 5 years in house working experience in legal firm, investment bank or finance industry.

Ÿ   Knowledge in SFC Ordinance, Company Ordinance & banking regulations.

Ÿ   Knowledge in company secretarial matters is advantage.

Ÿ   Strong communication and analytical skill.

Ÿ   High integrity, initiative and able to work independently.

Ÿ   Good command of English, Chinese and Putonghua.

Ÿ   Proficiency in MS Office application.



Interested candidates, please kindly send your detailed resume in WORD format including:
1) Current and expected salary
2) Availability
3) Reason for leaving current and past employments

 directly to: and


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