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Investment Banking - Compliance Operation Manager

  • Location


  • Sector:

    Financial Services and Banking

  • Job type:


  • Contact:

    Winifred Tsang

  • Contact email:

  • Salary high:


  • Salary low:


  • Published:

    25 days ago

  • Expiry date:


  • Startdate:


My client is a top-tier global investment firm headquartered in the US. With the expansion in the Asia market, they are looking for a compliance operation manager in Hong Kong to assist the team in Employee Compliance.

Candidates are required to have minimum 3 years of experience in the financial sector, preferably in licensing or registration team. Knowledge of personal account dealings and the Code of Conduct is essential for the role.

My client offers attractive package including desirable bonus and staff benefits. With the fast-paced and dynamic working environment, the role definitely can provide a broader horizon for your career path. 



  • Facilitate and monitor compliance with the company’s Code of Conduct and other compliance policies.
  • Identify potential conflicts of interest by reviewing employee disclosures, personal account dealings, gifts and entertainment etc.
  • Assist with licensing, examination and CPD hours tracking, and registration filings.
  • Assist in drafting and reviewing internal policies and procedures.
  • Monitor compliance according to regional’s laws and regulations with internal control requirements.
  • Prepare compliance-related reports and analyses for senior management.



  • Bachelor’s degree holder
  • Minimum 3 years of compliance experience in the financial services sector, preferably in a licensing and registration role.
  • Exposure to gifts and entertainment would beneficial.
  • Ethical and principled with impeccable integrity.
  • Proficient with databases, Tableau and Excel. 


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