Compliance Advisory, AVP/VP - Securities Firm

A securities firm in Hong Kong seeks an Assistant Vice President/Vice President, Compliance Advisory, to drive regulatory compliance, policy development, and business support.

Key responsibilities:

As AVP/VP, Compliance Advisory, you will provide regulatory advice, support business initiatives, and drive compliance excellence across the organisation.

• Provide compliance advisory on applicable rules, regulations, and regulatory expectations
• Review new business and product initiatives, delivering guidance from both regulatory and best-practice perspectives
• Manage regulatory and external interactions, including enquiries, inspections, and audits
• Support ongoing monitoring and testing to ensure adherence to compliance policies, procedures, and controls
• Assist in developing and updating policies, internal controls, and manuals in line with regulatory requirements
• Deliver compliance training to business and support functions
• Support day-to-day compliance department administration and operations
• Handle ad hoc compliance-related projects and assignments as required

Candidate profile:

To excel in this role, you bring strong compliance advisory experience within financial services, regulatory expertise, bilingual communication skills, and a collaborative, detail-oriented mindset.

• Degree holder in Law, Accounting, Finance, or a related discipline
• Minimum 5 years’ experience in Compliance, Legal, or regulatory roles within brokerage and/or investment banking
• Strong knowledge of Hong Kong regulatory requirements; PRC and overseas regulatory exposure is an advantage
• Proficient in Microsoft Office applications, including Word, Excel, and PowerPoint
• Bilingual in English and Mandarin with strong analytical, communication, interpersonal, and teamwork skills

About the company:

A well-established financial services organisation is recognised for delivering innovative capital markets and investment solutions across regional markets. The company offers a collaborative and forward-looking environment that values professional growth, cross-border exposure, and continuous development.

Keywords: compliance advisory, regulatory compliance, internal controls, policy development, financial services

What’s next:

Take the next step in your compliance career and join a fast-paced team shaping regulatory excellence across the financial markets.