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.