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Regulatory Compliance Associate

  • Location

    Hong Kong

  • Sector:

    Financial Services and Banking

  • Job type:


  • Salary:

    Competitive package

  • Contact:

    Wilfred King

  • Contact email:

  • Salary high:


  • Salary low:


  • Job ref:


  • Published:

    9 months ago

  • Expiry date:


  • Startdate:


A global well-known brokerage firm is currently looking for a general compliance officer to carry out all sorts of regulatory compliance-related duties. The company is focusing on global equities, ETFs, bonds, and other investment products.



  • As a key member of the team, you will be handling compliance, risk and internal control reviews to ensure that the company complies with the authorities' rules and regulations as well as compliance with the company's policies.
  • Engage and liaise with regulators and related stakeholders
  • Closely monitor the developments in wealth management regulations and educate the staff to implement the appropriate compliance rules and standards
  • Provide compliance training and promote compliance awareness among the staff



  • Bachelor's Degree in Accountancy, Legal, Business or related field
  • With approximately 3-5 years' experience in Regulatory Compliance
  • Sounded knowledge in Investment Products in Wealth Management and Private Banking will be a plus
  • Detail-minded, diligent and a team-player 
  • Fluent in Cantonese, English and Mandarin, capable of inputting Chinese characters