Description

About the Firm

Our client is a well-established financial services platform with a precense in US and Asia.The business is seeking an experienced Compliance professional to support front-office activities and provide practical regulatory advice across investment banking and capital markets businesses.

This is a highly visible role partnering closely with senior management, business stakeholders, and control functions, making it ideal for candidates who enjoy working in a dynamic, deal-driven environment.

Key Responsibilities

• Provide day-to-day compliance advisory support to investment banking, corporate finance, capital markets, and related business lines.
• Advise internal stakeholders on regulatory requirements, licensing matters, conflicts management, information barriers, and conduct risk.
• Review and assess transactions, marketing materials, client communications, and new business initiatives from a regulatory perspective.
• Monitor regulatory developments and assess their impact on the business.
• Assist with compliance monitoring, surveillance, and regulatory reporting obligations.
• Support regulatory inspections, audits, and enquiries from relevant regulatory authorities.
• Deliver compliance training and promote a strong compliance culture across the organization.
• Partner closely with Legal, Risk, Operations, and senior business stakeholders on governance and control initiatives.

Requirements

• Bachelor's degree in Law, Finance, Business, Accounting, or a related discipline.
• Approximately 5-10+ years of compliance experience gained within investment banking, corporate finance, capital markets, brokerage, or financial institutions.
• Solid understanding of Hong Kong regulatory requirements and compliance frameworks.
• Experience providing advisory support directly to front-office or deal teams.
• Strong stakeholder management and communication skills.
• Ability to work independently in a fast-paced, high-performance environment.
• Fluent English and Mandarin is required

What's on Offer

• Opportunity to work closely with senior management and business leaders.
• Broad exposure to investment banking and capital markets activities.
• Entrepreneurial and collaborative working environment.
• Competitive compensation package and long-term career progression opportunities.