Job ref no.: CT3118690-01#6541

Associate / VP, Compliance (Investment Bank, Kwun Tong)

Conners Consulting Limited

  • 5-day week
  • Discretionary bonus
  • Insurance plan
  • Medical plan

Our client, a well-established Investment Bank to invite high calibre candidates to join their company.



  • Responsible for providing primary compliance coverage to Control Room and other general compliance support;
  • Clearance of research and daily reports from Compliance’s perspective;
  • Provide guidance and review pre-deal research. This involves liaising with Research, Global Capital Markets and/or internal/external legal counsel;
  • Monitor employee trade data to determine compliance with the Firm's personal trading policies and departmental requirements;
  • Check and approve employee personal trading requests in accordance with the Firm's personal trading policies;
  • Develop, update and implement compliance policies and procedures, including departmental procedural manuals;
  • Deliver compliance training;
  • Assist in outside interests approvals and monitoring;
  • Make short-sell position reports to the SFC for the firm;
  • Assist in maintenance of conflicts registrar and other control lists;
  • Provide after office hours support as required. 


  • University degree holder in Law, Finance or equivalent;
  • 3 years’ or above in IBD Compliance, Research Compliance or Control Room in Investment Bank
  • Excellent interpersonal skills and ability to interact with people from different areas at all levels of seniority;
  • Excellent command of spoken and written English and Chinese, including Putonghua;
  • Self-motivated, independent and well organized with a strong sense of responsibility;
  • Able to handle multiple tasks and commit to achieving deadlines.


To apply, please send your detailed resume or contact Boei Yan at 3460 2012 for a confidential discussion.

Only shortlisted candidates will be notified. 

Applicants who are not contacted within two weeks may consider their applications unsuccessful.

All data collected will be used for recruitment purpose only & will be used strictly confidential.


Conners Consulting Limited 2005 Kai Tak Commercial Building 317 Des Voeux Road Central Hong Kong

Tel: (852) 3996 8090        



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More job information
Job ref no. CT3118690-01#6541
  • N/A
Job Function
  • Kwun Tong
Employment Term
  • Permanent
  • Full-time
  • 3 years - 8 years
Career Level
  • Middle management level
  • Degree