Associate / Analyst, Investment Banking & Control Room Compliance

GF Securities (Hong Kong); Hong Kong; On-site; HKD 420,000 - 720,000; Full time

Job summary

GF Securities (Hong Kong) is seeking a compliance professional with strong capital markets experience to oversee control room activities and regulatory surveys. You will review internal policies, collaborate with stakeholders, and provide training on compliance matters in a fast-evolving regulatory environment.

The ideal candidate has experience in primary capital markets compliance, strong analytical skills, and proficiency in Mandarin, Cantonese, and English.

Qualifications

• Master or Bachelor’s degree in Law, Regulatory Compliance, Accounting, Finance, Business Administration, or related field.
• 2+ years in primary capital markets compliance or control room, preferably in a Chinese-based securities firm.
• Experience with AI/automation tools used in compliance is highly preferred.
• Strong analytical mindset with curiosity for leveraging technology and data to solve compliance challenges.
• Self-motivated with ability to work independently and collaboratively in a dynamic environment.
• Proven career progression reflecting long-term commitment.
• Proficient in written and spoken Mandarin, Cantonese and English.

Responsibilities

• Perform control room functions and manage matters related to the Chinese Wall.
• Regulatory surveys and questionnaires, including Business and Risk Management questionnaire.
• Conduct compliance review and recommend corrective solutions for identified deficiencies.
• Periodically review internal policies and procedures in line with regulatory changes.
• Collaborate with stakeholders to implement compliance-related projects.
• Deliver ongoing internal training on compliance matters.
• Handle regulator inquiries and examinations as needed.
• Execute ad-hoc tasks and projects as needed.

Skills

Regulatory compliance

Control room experience

AI/automation in compliance

Data analysis

Self-motivated

Multilingual (Mandarin, Cantonese, EN)

Education

Bachelor’s or Master’s degree in Law / Compliance / Finance

Job description

Job 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.

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.