Associate / Analyst , Investment Banking & Control Room Compliance

GF Holdings (Hong Kong) Corporation Ltd; Hong Kong; Sur place; HKD 600 000 - 900 000; Plein temps

Résumé du poste

GF Securities (Hong Kong) seeks an Associate/Analyst in Investment Banking & Control Room Compliance to support Chinese Wall controls and regulatory compliance initiatives. You will conduct reviews, manage surveys, and collaborate with stakeholders on projects.

The role requires strong analytical skills, 2+ years in capital markets compliance, and fluency in Mandarin, Cantonese and English. Experience with AI/automation tools is highly preferred.

Qualifications

• Bachelor or master degree in a related field such as Law, Regulatory Compliance, Accounting, Finance, or Business Administration.
• Strong analytical mindset with ability to leverage data and technology to solve compliance challenges.
• Proficiency in written and spoken Mandarin, Cantonese and English.
• 2+ years of experience in primary capital markets compliance or control room.
• Experience with AI/automation tools used in compliance is highly preferred.

Responsabilités

• Perform control room functions and manage matters related to the Chinese Wall.
• Manage regulatory surveys and questionnaires, including Business and Risk Management questionnaire.
• Conduct compliance review and recommend corrective solutions for identified deficiencies.
• Conduct periodic and ad hoc reviews of internal policies and procedures in alignment with regulatory environment.
• Liaise with stakeholders to implement compliance-related projects.
• Deliver ongoing internal training on compliance matters.
• Assist in handling regulator inquiries and examinations as needed.
• Execute ad-hoc tasks and projects as needed.

Connaissances

Analytical mindset

Multilingual (Mandarin, Cantonese, and

Formation

Master or Bachelor’s degree in Law/Regulatory Compliance/Accounting/Finance/Business Administration

Description du poste

Associate / Analyst , Investment Banking & Control Room Compliance

Perform control room functions and manage matters related to the Chinese Wall.

Manage regulatory surveys and questionnaires, including Business and Risk Management questionnaire.

Conduct compliance review and recommend corrective solutions for identified deficiencies.

Conduct periodic and ad hoc reviews of internal policies and operational procedures in alignment with the evolving regulatory environment.

Liaise and collaborate closely with stakeholders to implement compliance-related projects.

Deliver ongoing internal training on compliance matters.

Assist in handling requests, inquiries and examinations from regulators as needed.

Execute ad-hoc tasks and projects as needed.

Qualifications:

Master or Bachelor’s degree in Law, Regulatory Compliance, Accounting, Finance, Business Administration, or a related field.

2 years or above of demonstrated experience in primary capital markets compliance or control room, preferably within a Chinese-based securities firm.

Practical experience or strong familiarity with AI/automation tools used in compliance is highly preferred.

Strong analytical mindset with a curiosity for leveraging technology and data to solve compliance challenges

Self-motivated with the ability to work both independently and collaboratively in a dynamic environment, demonstrating a strong sense of responsibility.

Proven career progression reflecting long‑term commitment.

Proficient in written and spoken Mandarin, Cantonese and English.

GF Securities (Hong Kong), which includes GF Holdings (Hong Kong) Corporation Limited and its subsidiaries, is the core platform for GF Securities Co., Ltd. to implement its globalization strategy.

GF Securities (Hong Kong) thrives to become a leading Chinese securities firm with Asia focus, Chinese expertise, and Greater Bay Area characteristics.

After nearly 20 years of development, GF Securities (Hong Kong) provides comprehensive financial services, including global securities, investment banking, wealth management and brokerage, and investment management, to global and local enterprises, institutions, retail, and high‑net‑worth clients.