Senior Manager Markets Compliance - Global Investment Bank

Job level Middle
Work exp No work experience
Education Bachelor Degree
Within Hong Kong
Employment type Full Time
Industry Banking
Job function Banking / Finance > Legal / Compliance
Banking / Finance > Capital Markets
Banking / Finance > Risk Management
Published On 05/07/2022
ref. JN -052022-5628332_56016

This role will report directly to the HK Head of Compliance working alongside other colleagues within the compliance team. This role will cover compliance program, regulatory management change projects, compliance advisory, monitoring and testing and surveillance for their global markets products including FICC and equities.

Client Details

My client is an international well known boutique investment bank. They have business in asset management, private bank, and capital markets. They have over 100 staff in Hong Kong.


  • Report directly to the HK Head of Compliance whilst working alongside other colleagues
  • responsible for performing second line of defence compliance program duties including reg change management, risk assessment, and monitoring and testing
  • provide capital markets compliance advisory to the business
  • perform trade surveillance duties when necessary


  • bachelor degree
  • 5-7+ years in compliance specifically surveillance and/or global markets compliance advisory
  • must have product knowledge in fixed income, commodities, currencies, and equities
  • must be articulate in English and Chinese

Job Offer

  • great work life balance
  • broad exposure into capital markets compliance
  • great medical benefits

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