Join a team where your attention to detail and passion for compliance will help shape the future of financial markets. As an Associate in Equities Compliance, you will have the opportunity to work alongside experienced professionals, develop your expertise, and make a meaningful impact. We value diverse perspectives and encourage innovative thinking. If you are looking to grow your career in a dynamic, collaborative environment, this is the place for you.
As an Associate in the Equities Compliance team, you play a key role in supporting the business by advising on regulatory requirements and helping to ensure robust compliance practices. You will work closely with colleagues across the region, contribute to the development and implementation of compliance programs, and help maintain the integrity of our operations. Your work will directly support the firm’s commitment to responsible growth and risk management.
Job Responsibilities
- Support compliance coverage for the Equities business in Hong Kong and across Asia Pacific, with a focus on Syndicate coverage and/or Cash Equities.
- Assist in assessing regulatory and compliance risks in existing and new business activities
- Monitor and communicate regulatory updates and developments relevant to the business
- Collaborate with global and regional Compliance teams to share information and best practices
- Participate in the review of new products and business initiatives from a Compliance perspective
- Contribute to the design, development, and implementation of Compliance programs and controls
- Help prepare and deliver Compliance training materials for staff in Hong Kong and the region
- Assist in drafting and updating Compliance policies, procedures, and guidelines
- Liaise with country and corporate compliance groups, as well as other control functions such as Operations, Technology, Finance, Tax, and Legal
- Support responses to regulatory inquiries and examinations
- Maintain accurate records and documentation related to compliance activities
Required Qualifications, Capabilities, and Skills
- Bachelor’s degree in Finance, Economics, Law, or a related discipline
- Experience in compliance within a financial institution
- Familiarity with Asia equities markets and relevant regulations
- Knowledge of banking / syndicate activities including Hong Kong market sounding regime
- Strong analytical and problem-solving skills
- Excellent communication and interpersonal skills
- Ability to work collaboratively in a team environment
- High attention to detail and organizational skills
- Ability to manage multiple tasks and prioritize effectively
