Investment Banking Compliance Associate - Control Room

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

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.