Compliance Associate to SVP, Top Investment Bank

We are assisting our client, a Top PRC investment bank, to look for a Compliance Specialist (Associate to AD) to join them. Reporting to senior leadership within the compliance function, this role will play a pivotal part in ensuring full adherence to regulatory requirements while supporting business growth in a dynamic environment. Responsibilities - Oversee and manage all compliance matters for the asset management, FICC and PWM businesses. - Develop, implement, monitor, and review compliance policies, procedures, and internal controls to ensure alignment with SFC, HKMA, and other applicable regulatory standards. - Conduct compliance monitoring, testing, and risk assessments; identify potential issues and recommend remedial actions. - Provide practical compliance advice and training to business units, investment teams, and senior management on regulatory obligations, conduct risks, AML/CFT, client protection, market integrity, and product governance. - Support fund authorisation, ongoing maintenance, licensing applications, notifications, and KYC/AML due diligence processes. - Stay abreast of evolving Hong Kong and Greater China regulatory developments (including cross-border initiatives) and advise on their impact to the business. - Collaborate closely with internal stakeholders (e.g., legal, risk, operations, and front office) to promote a strong compliance culture. Requirements - Bachelor's degree or higher in Law, Finance, Business, Accounting, or a related discipline; - 2-12 years of relevant compliance experience in asset management/ securities firm - Good knowledge of SFC regulations (including the Code of Conduct, Fund Manager Code of Conduct, and licensing requirements), and AML/CFT frameworks. - Experience in handling SFC regulatory liaison and compliance monitoring/testing. - Excellent command of English and Mandarin (written and spoken); Cantonese is a plus. - Strong analytical, communication, and stakeholder management skills, with the ability to work independently and under pressure.