Compliance Associate

  • Sector: LMA Asia Banking Operations
  • Contact: Tanu Booluck
  • Contact Email: tanu.booluck@lmarecruitment.asia
  • Client: LMA
  • Location: Hong Kong
  • Salary: Negotiable
  • Expiry Date: 16 December 2021
  • Job Ref: BBBH229815_1637034756


Our client, a Global Investment Bank in Hong Kong is looking for a compliance associate to join their well-established compliance team where you will assist in carrying out monitoring and surveillance of stock trading activities and managing HK regulatory licensing related matters

Responsibilities of the Role:

  • To carry out monitoring and surveillance of stock trading activities
  • To monitor and report short positions and substantial shareholdings to regulators
  • To assist in special assignment, project coordination and implementation of new policies as assigned
  • To coordinate and liaise with regulatory authorities for regulatory enquiries, reporting, inspection, or investigation
  • To conduct investigation into any violations of the rules, regulations and firm's policy and procedures
  • To assist in managing HK regulatory licensing related matters
  • To assist in coordinating new hire and ongoing trainings and maintain employee continuous professional training records



Requirements of the Role:

  • 3-5 years' experience in compliance or internal control in the securities industry ideally gained from a major US or European investment bank or comparable experience in consultancy, audit for financial services.
  • Good knowledge of financial markets and be ready to learn
  • Good analytical and communication skills
  • Self-motivated and innovative



Company Reg. No.: 201131609D | Licence No.: 11C4684 | EA Reg No: R2196467