Associate / Analyst, Central Compliance

Department：Legal & CompliancePublish Time： 2026/05/12Location：Hong Kong

Responsibilities

Assist in planning, development and execution of compliance monitoring program, transaction reviews and/or trade surveillance
Perform compliance monitoring and reviews to ensure compliance with applicable legal and regulatory requirements and group policies, and assist senior compliance officer in the drafting of conclusion report with appropriate recommendations on compliance issues and findings as identified
Handle regulatory requests such as reporting, inquiries, investigations and inspections and ensure smooth, accurate and timely communication with regulators
Handle staff declarations on personal account trading and outside engagement and carry out relevant monitoring according to the internal group policies
Assist in preparing regular and ad-hoc compliance management reports
Assist in developing and implementing compliance training program
Disseminate latest regulatory requirements to relevant business and support units and follow-up with the respective units on implementation plan, if required

Requirement

Degree holder in Law, Finance, Accounting, Corporate Governance or related discipline
Strongly self-motivated, quick learner and able to work independently in highly dynamic environment
Strong analytical and Chinese writing skills, in particular, formal Chinese report drafting
Good interpersonal and communication skills
Sound knowledge in rules and regulations administered by the SFC, HKEX and Insurance Authority (IA)
Minimum of 3 years solid experience in compliance monitoring preferably in Chinese financial institutions or regulatory bodies (Note: Candidate with less than 3 years’ experience could apply for Analyst position
Immediately available is highly preferred

We offer attractive remuneration package and fringe benefits to the right candidate. Interested applicants please send detailed resume stating present & expected salaries and date of availability to Human Resources Department by clicking "Apply Now".