AVP Central Compliance - US Investment Bank

Job level Entry
Work exp No work experience
Education Bachelor Degree
Within Hong Kong
Employment type Full Time
Industry Banking
Job function Legal / Professional Services > Legal & Compliance
Banking / Finance > Legal / Compliance
Banking / Finance > Others
Published On 18/01/2022
ref. JN -012022-4575985_24747

Responsible for central compliance duties including surveillance, disclosure of interest, regulatory licensing, compliance training, and personal account dealing. Report directly to the HK Head of Compliance.

Client Details

My client is a boutique sized US based investment bank. They have about 120 staff in Hong Kong and have a strong footprint in Asia.


  • Report directly to the HK Head of Compliance working alongside other compliance staff
  • Disclosure of Interest reporting, regulatory licensing, compliance training, surveillance and PAD


  • 3-6years+ of compliance experience within investment bank
  • open to big 4 candidates with compliance consulting experience
  • candidate should have experience in surveillance and DOI
  • must be able to work independently
  • must be articulate in english

Job Offer

  • great work culture
  • international firm
  • top tier investment bank

To apply online please click the 'Apply' button below. For a confidential discussion about this role please contact Monica Wong on +852 2848 9520.