Associate, Advisory Compliance (Securities & Brokerage)

CLIENT BACKGROUND
A leading financial institution is seeking an Advisory Compliance Associate to join its Hong Kong office. This is an excellent opportunity for compliance talent looking to step into a tier‑1 banking environment with strong regional exposure and a stable platform. The role sits within a well‑established compliance function supporting secondary‑market activities across the APAC region.

JOB RESPONSIBILITY

• Provide day‑to‑day advisory support to business lines involved in secondary‑market activities, ensuring adherence to relevant regulatory requirements and internal compliance standards.
• Assist in reviewing, interpreting, and communicating regulatory updates to stakeholders, contributing to effective risk management and governance.
• Support the development and enhancement of compliance policies, procedures, and controls relating to securities trading and brokerage activities.
• Work closely with front‑office teams to address compliance queries, potential breaches, and business initiatives.
• Participate in internal investigations, monitoring activities, and ad‑hoc compliance projects to strengthen the control framework.

JOB REQUIREMENTS

• Minimum 3 years of compliance experience gained from securities firms, brokerages, or investment banks.
• Strong understanding of Hong Kong regulations and secondary‑market activities.
• Stable career history with proven ability to support advisory matters in a fast‑paced environment.
• Excellent communication skills with the ability to engage stakeholders at various levels.
• Mandarin or Cantonese proficiency is required.