Compliance Associate

Job Title: Compliance Associate
Contract Type: Permanent
Location: Hong Kong
Reference: JW-190312-1
Contact Name: Justin Wan
Contact Email:
Job Published: March 12, 2019 15:14

Job Description

Compliance Associate, Fixed Income / MM (Prestige Foreign IB)


Our client, a reputable Investment Bank, now is looking for a Compliance Associate as below.



  • Provide consultation and advice to trading desks and Business Heads, in consultation with the Vice President as necessary

  • To ensure and demonstrate compliance with the Operating Group Compliance Program

  • Communicate and coordinate closely with Compliance and Supervision colleagues to monitor Regulatory developments in the context of current rules and industry trends

  • Supervise trading activities to ensure compliance with all applicable regulations

  • Monitor suspicious trading activities through Actimize

  • Review marketing materials, business visits, gifts and entertainment record

  • Provide administrative support for Vice President and any other supervisory tasks as assigned from time to time



  • Solid knowledge of the CBIRC, SAFE, PBOC and related banking regulations essential; MAS, HKMA, OSFI and US regulations a plus

  • Strong relationship management skills; ability to establish and manage multiple stakeholder relationships with the business, within the three lines of defense and with corporate support functions

  • Able to read technical compliance material in Chinese and English and distil the applicability of the regulations to respective business unit(s)

  • Strong analytical skills – analyze the evidence collected on remediated controls and determine if there is substantive conformance with requirements

  • Advanced educational degree such as MBA, CPA, JD or CFA is a plus


Interested candidates, please kindly send your detailed resume including:

1) Current and expected salary

2) Availability

3) Reason for leaving current and past employments

directly to: and


Personal data collected will be used for employment-related purpose only. We regret to inform that only shortlisted candidates will be notified, thank you.

Get similar jobs like these by email

By submitting your details you agree to our T&C's