AVP/ VP, Regulatory Compliance (Top tier Securities)

Your new company

Our client is a SFC- licensed securities with a strong footprint across Greater China and Asia-Pacific, offering comprehensive securities, corporate finance and investment banking services. The organisation is known for its solid governance framework, expanding capital markets platform and continued investment in compliance infrastructure.

Your new role
As Vice President, Compliance, you will be responsible for providing compliance advisory and oversight to securities and investment banking businesses. You will act as a trusted partner to business stakeholders, ensure adherence to regulatory requirements and internal policies, and support regulatory engagement and inspections.
Key responsibilities include:

• Providing day-to-day compliance advisory on securities and investment banking activities
• Reviewing and advising on new products, transactions and business initiatives
• Monitoring regulatory developments and assessing impact to business operations
• Supporting regulatory inquiries, examinations and internal audits
• Assisting in compliance policies, procedures and ongoing control enhancements

What you'll need to succeed

• Degree holder with solid experience in compliance within securities and/or investment banking
• Strong knowledge of Hong Kong regulatory requirements (SFC, HKMA where applicable)
• Experience covering corporate finance, capital markets, advisory or brokerage activities
• Strong stakeholder management skills with ability to work closely with front office
• Excellent communication skills in English and Chinese

What you need to do now

If you're interested in this role, click apply now" to forward an up-to-date copy of your CV, or share your profile to [email protected].
If this job isn't quite right for you, but you are looking for a new position, please contact us for a confidential discussion on your career.