We are assisting our client, a Top PRC investment bank, to look for a Compliance Specialist (Associate to AD) to join them. Reporting to senior leadership within the compliance function, this role will play a pivotal part in ensuring full adherence to regulatory requirements while supporting business growth in a dynamic environment.
Responsibilities
• Oversee and manage all compliance matters for the asset management, FICC and PWM businesses.
• Develop, implement, monitor, and review compliance policies, procedures, and internal controls to ensure alignment with SFC, HKMA, and other applicable regulatory standards.
• Conduct compliance monitoring, testing, and risk assessments; identify potential issues and recommend remedial actions.
• Provide practical compliance advice and training to business units, investment teams, and senior management on regulatory obligations, conduct risks, AML/CFT, client protection, market integrity, and product governance.
• Support fund authorisation, ongoing maintenance, licensing applications, notifications, and KYC/AML due diligence processes.
• Stay abreast of evolving Hong Kong and Greater China regulatory developments (including cross-border initiatives) and advise on their impact to the business.
• Collaborate closely with internal stakeholders (e.g., legal, risk, operations, and front office) to promote a strong compliance culture.
Requirements
• Bachelor's degree or higher in Law, Finance, Business, Accounting, or a related discipline;
• 2-12 years of relevant compliance experience in asset management/ securities firm
• Good knowledge of SFC regulations (including the Code of Conduct, Fund Manager Code of Conduct, and licensing requirements), and AML/CFT frameworks.
• Experience in handling SFC regulatory liaison and compliance monitoring/testing.
• Excellent command of English and Mandarin (written and spoken); Cantonese is a plus.
• Strong analytical, communication, and stakeholder management skills, with the ability to work independently and under pressure.
