Associate / Analyst, Investment Banking & Control Room Compliance

GF Securities (Hong Kong); Hong Kong; On-site; HKD 420,000 - 680,000; Full time

Job summary

GF Securities (Hong Kong) is seeking a compliance professional to manage control room duties, regulatory surveys, and policy reviews. The role requires a law/regulatory/compliance background with 2+ years in capital markets compliance, and familiarity with AI tools used in compliance.

Fluency in Mandarin, Cantonese and English is essential. We expect strong analytical skills and the ability to work independently in a dynamic environment, with collaboration across stakeholders and regulators as

Qualifications

• Master or Bachelor’s degree in Law, Regulatory Compliance, Accounting, Finance, Business Administration, or a related field.
• 2+ years 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.
• Proficient in written and spoken Mandarin, Cantonese and English.

Responsibilities

• 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.

Skills

Analytical mindset

Self-motivated

Independent work

Data-driven

Education

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

Tools

AI/automation tools

Job description

• 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.

Job Requirements :

• 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.