Control Room & IBD Compliance Associate
Our client operates within the financial services sector, fostering a collaborative and proactive culture committed to compliance excellence. This role involves providing practical compliance advice to support the growth of corporate finance and capital markets activities. Responsibilities include managing control room functions, overseeing matters related to the Chinese Wall, handling regulatory surveys and questionnaires, conducting compliance reviews, and recommending corrective actions. The role is vital in ensuring regulatory adherence, maintaining operational integrity, and supporting internal training initiatives.
Role Overview:
The Control Room & IBD Compliance Associate plays a key part in the compliance team, ensuring adherence to regulatory requirements and internal policies, and facilitating smooth communication with regulators and stakeholders within the organization.
Key Skills & Experience:
• 3-5 years of experience in primary capital markets compliance, preferably within a Chinese-based securities firm
• In-depth knowledge of rules and regulations administered by the Securities and Futures Commission (SFC) and Hong Kong Exchanges and Clearing Limited (HKEx)
• Proficient in written and spoken Mandarin, Cantonese, and English
• Experience in managing regulatory inquiries is advantageous
• Self-motivated with ability to work independently and collaboratively in a dynamic environment
Key Responsibilities:
• Provide practical compliance advice to promote sustainability and support the growth of corporate finance and capital markets business
• Perform control room functions and manage matters related to the Chinese Wall
• Manage regulatory surveys and questionnaires, including Business and Risk Management questionnaires
• Conduct compliance reviews and recommend corrective solutions for deficiencies
• Perform periodic and ad hoc reviews of internal policies and operational procedures in line with regulatory changes
• Collaborate with stakeholders to implement compliance projects
• Address regulatory requests, inquiries, and examinations promptly and professionally
• Deliver internal compliance training as required
• Execute ad-hoc tasks and projects as needed
Requirements:
• Bachelor’s degree in Law, Accounting, Finance, Business Administration, or a related field
• Demonstrated experience of 3-5 years in primary capital markets compliance
• Proven career progression reflecting long-term commitment
• Self-motivated and responsible, capable of working both independently and in teams
• On-site presence required
Nice to Have (Optional):
• Experience in managing regulatory inquiries
This is a permanent, on-site position based in Asia. Candidates with the relevant experience and skills are encouraged to apply.
