General compliance, Associate

An esteemed financial institution is seeking a Compliance Associate to join its dedicated business advisory compliance team.

What you'll do:

• Provide comprehensive compliance advice relating to applicable rules, regulations, and regulatory expectations to ensure business activities align with legal standards.
• Review new business initiatives and product launches, offering guidance from both regulatory and best practice perspectives to support responsible growth.
• Handle enquiries, inspections, and audits from regulators as well as external parties, ensuring timely and accurate responses that reflect the organisation’s commitment to transparency.
• Participate actively in monitoring activities and checks designed to ensure strict adherence to established compliance procedures and internal controls across all departments.
• Assist in formulating, updating, and reviewing company policies, internal control procedures, and operational manuals so they remain current with evolving regulatory requirements.
• Deliver engaging compliance training sessions to both business teams and supporting staff members, fostering a culture of awareness and accountability throughout the organisation.
• Support the administration of the compliance department by managing documentation, records, and other essential tasks that keep operations running smoothly.
• Contribute to ad hoc assignments related to compliance matters as required by management or regulatory changes, demonstrating flexibility and responsiveness in your approach.

What you bring:

• A university degree in Law, Accounting, Finance or a closely related field provides you with a solid academic foundation for understanding complex regulatory frameworks.
• 3-5 years of experience working in Compliance, Legal roles or with regulators equips you with practical insights into industry expectations; exposure within brokerage or investment banking environments is especially valuable.
• A thorough understanding of Hong Kong’s regulatory landscape enables you to offer relevant advice; familiarity with PRC regulations or overseas developments would be advantageous for broader coverage.
• Proficiency in Microsoft Office applications—including Word, Excel, and PowerPoint—ensures you can efficiently manage documentation and present information clearly.
• Bilingual fluency in both Chinese (Mandarin) and English allows you to communicate effectively across diverse teams and with external stakeholders.
• A mature outlook combined with thoughtful analysis empowers you to navigate complex situations sensitively while maintaining objectivity.
• Your aptitude for technology supports efficient problem-solving as well as adaptation to new tools or systems introduced within the department.
• Being proactive and dependable makes you an invaluable team player who contributes positively to group objectives through strong interpersonal coordination.