Compliance Associate, Investment Banking

Hong Kong

• Fast Pace Environment
• Excellent Career Advancement

Recognized as one of the leading financial institutions in the world, our client is looking for a diligent and dynamic individual to work alongside with a group of experienced compliance professionals.

The Role

Reporting to the Compliance Manager, you will be fully responsible for:

• Providing compliance advice and support to the banking group
• Testing the adequacy of controls in place within the business and to identify potential and actual breaches
• Managing the production, delivery and completion of compliance monitoring plans
• Escalating any regulatory breaches to the business and recommending appropriate actions to rectify the problems
• Providing assistance in the Compliance Risk Assessment process across different business lines
• Liaising with other support functions such as internal audit, legal, risk, finance and operations on aspects related to compliance issues

The Successful Applicant

You will be a University Graduate holding a degree in law and/or economics preferred with at least 3 years experience gained within a investment banking / financing compliance function.  You will possess good understanding of the regulatory environment in investment banking & financing and  have strong communication, analytical and leadership skills. Fluency in English and Mandarin, both written and spoken is essential.

To Contact Us

Please email your CV to Christy Lam at c.lam@alsrecruit.com quoting the reference for a confidential discussion. 

(WS/7774)