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Investment Banking - Compliance Manager

  • Location

    Hong Kong

  • Sector:

    Financial Services and Banking

  • Job type:


  • Contact:

    Winifred Tsang

  • Contact email:

  • Salary high:


  • Salary low:


  • Published:

    about 1 month ago

  • Expiry date:


  • Startdate:


My client is a multinational investment banking advisory firm focusing on cross-border M&A advisory and capital raising. They are looking for a compliance manager to handle KYC and regulator enquiries.

Apart from the very competitive salary, my client offers a very flexible working environment with only 3 working days. Candidates are required to have a minimum of 5 years of experience in compliance areas, with sound knowledge of the US and Hong Kong's regulatory requirements.


- Handle the KYC review of the new clients and other issues related to the client onboarding
- Set up and distribute company's wide restricted list on public companies 
- Handle regulators enquiries and client complaints
- Ensure the company's compliance policies, manuals and procedures are up-to-date

- Bachelor or above degree in Risk Management, Compliance, Audit, Finance, Accountancy, Business Administration or related disciplines.
- Minimum 5 years of experience in compliance-related areas
- Sound knowledge and experience with FCA, FINRA, SEC, SFC and related regulatory requirements
- Experience in compliance work dealing with Type 1, 4, 6 and 9 regulated activities in investment banks or SFC licensed corporations;
- Excellent interpersonal skills, strong work ethic, a team player, organized and attention to detail 

For interested parties, please contact Winifred at +852 2777 6277 or for further discussions.