Compliance Advisory AVP/VP - Investment Bank

CLIENT BACKGROUND
A leading financial institution is expanding its Hong Kong compliance function and is seeking an experienced professional to join its Compliance Advisory team. The firm offers a dynamic environment with strong leadership support, regional exposure, and clear career progression opportunities. This position reports directly to the Head of Compliance Advisory.

JOB RESPONSIBILITY

• Provide day‑to‑day advisory support to front‑office businesses across securities, equities, FICC, and derivatives.
• Support the interpretation and implementation of regulatory requirements affecting trading, sales, and investment banking activities.
• Review new products, transactions, and business initiatives to ensure alignment with internal compliance standards and regulatory expectations.
• Monitor regulatory developments and contribute to thematic reviews, internal controls enhancements, and compliance projects.
• Act as a trusted partner to senior stakeholders, offering pragmatic compliance guidance while maintaining strong risk awareness.
• Assist in overseeing team functions, especially at VP level, ensuring high-quality advisory delivery and cross-team coordination.

JOB REQUIREMENTS

• Minimum 8 years of relevant compliance advisory experience within investment banking, securities brokerage, or other capital markets environments. Candidates with less experience will be considered for AVP.
• Solid understanding of regulatory frameworks related to securities, equities, FICC, and derivatives.
• Strong knowledge of Hong Kong regulatory requirements; exposure to regional regulations is advantageous.
• Excellent communication skills, with the ability to engage Chinese‑speaking stakeholders.
• Demonstrated ability to work independently in a fast-paced environment and provide commercially sound compliance advice.