Compliance AVP/Associate, A Top-tier Securities Firm

Cornerstone Global Partners; Hong Kong; On-site; HKD 700,000 - 1,000,000; Full time

Job summary

Cornerstone Global Partners is assisting a top-tier securities firm in Hong Kong to hire a Compliance AVP/Associate. The role focuses on regulatory advisory for securities brokerage and OTC derivatives, trade monitoring, and adherence to SFC rules.

You will prepare filings, monitor regulatory changes, train staff, and liaise with the SFC. A strong SFO/SFC knowledge and bilingual English/Chinese are essential, with 3–8 years of experience.

Qualifications

• Bachelor’s degree in Law, Finance, Accounting, or related field.
• 3–8 years of experience in business compliance / trade surveillance / regulatory compliance in financial institutions.
• Thorough knowledge of the SFO, SFC Code of Conduct, Licensing Guidelines, and related circulars.
• Good command of written and spoken English and Chinese.

Responsibilities

• Provide day-to-day compliance advisory for securities brokerage and OTC derivatives businesses.
• Conduct trade monitoring and surveillance; monitor onboarding and order execution for SFC compliance.
• Prepare and submit regulatory reports, notifications, and filings to the SFC.
• Monitor regulatory changes and update policies and practices accordingly.
• Conduct compliance training for front-line staff and maintain up-to-date manuals and procedures.
• Liaise with the SFC and other regulators on licensing, audits, and inquiries.
• Perform periodic compliance reviews, risk assessments, and incident investigations.

Skills

Regulatory compliance

SFC knowledge

Education

Bachelor's degree (Law/Finance/Accounting)

Job description

Our client, a Top-tier Securities Firm, is now looking for a Compliance AVP/ Associate to join their elite team.

Responsibilities

• Provide day-to-day compliance advisory for securities brokerage and OTC derivatives businesses;
• Conduct trade monitoring and surveillance; Monitor and review client onboarding, and order execution to ensure adherence to SFC rules and internal policies;
• Prepare and submit regulatory reports, notifications, and filings to the SFC;
• Monitor regulatory changes and ensuring timely update to policies and practices
• Conduct compliance training for front-line staff and maintain up-to-date compliance manuals and procedures;
• Liaise with the SFC and other regulators on licensing, audits, and inquiries;
• Perform periodic compliance reviews, risk assessments, and incident investigations..

Requirements

• Bachelor’s degree in Law, Finance, Accounting, or related field;
• 3-8 years of experience in business compliance/ trade surveilance/ regulatory compliance in financial institutions;
• Thorough knowledge of the Securities and Futures Ordinance (SFO), SFC Code of Conduct, Guidelines on Licensing, and related circulars;
• Good command of written and spoken English and Chinese

Sheung Wan, Central and Western District, HK