AVP Equities Compliance - Investment Bank

Job level Middle
Work exp No work experience
Education Bachelor Degree
Within Hong Kong
Employment type Full Time
Industry Financial Services / Investment / Securities
Job function Banking / Finance > Legal / Compliance
Legal / Professional Services > Legal & Compliance
Banking / Finance > Derivatives / Equities
Published On 05/07/2022
ref. JN -052022-5619104_11891

This role will report directly to the team lead for equities compliance and will be responsible for equities compliance advisory and regulatory related matters.

Client Details

My client is a global international investment bank with businesses businesses in asset management, banking, global markets, and capital markets. They have over 100 staff in Hong Kong and have offices in Australia, Singapore, USA, etc.


  • report directly to the equities compliance team lead whilst working alongside other colleagues
  • provide compliance advisory on equities products to the traders
  • responsible for all regulatory matters including SFC and HKEx
  • perform compliance review when necessary


  • bachelor degree
  • must be fluent and articulate in english
  • open to candidates directly from the HKEx and SFC
  • open to candidates from securities firms who have experience with equities products

Job Offer

  • great work life balance
  • global international investment bank
  • broad exposure into compliance

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