Senior Associate, Control Room - Investment Bank

Senior Compliance Associate role to support the department in day-to-day Control Room and ad hoc tasks.

Your new company
This Chinese Investment bank has established a prestigious brand name in the APAC region. It is well-known for its strong product capability, stable working environment and strong growth in the region. They are looking for a Senior Compliance Associate to ensure that risks are properly identified and assessed for SFC licensed 1,4,9 businesses and supporting the control room on day-to-day tasks.

Your new role
As an influential member of the team, below are the mainly objectives of your role:
  • Manage the watch list, restricted list and research disclosure database.
  • Handle Chinese wall crossing application
  • Managed compliance manuals and procedures

What you'll need to succeed
  • Ideally you will have at least 3 years of experience in control room compliance with financial institutions
  • Understanding in compliance policy, regulations and statutory requirements of SFC regulated activities (Type 1,4,9)
  • Candidates with less experiences will be considered as Associate

What you'll get in return
  • Competitive compensation package alongside consistent career development
  • Opportunities to work with experienced compliance specialists within the field
  • Involvement in regional compliance projects

What you need to do now
If you are currently looking for a new role within the Banking and Financial Services AML/Compliance function, or potentially exploring the market? Feel free to contact myself on +852 2230 7451 for a confidential discussion, and send me your CV to or visit our Banking page here:



Job Type
Banking & Financial Services
Banking and Financial Services

Talk to a consultant

Talk to Kelvin Tse, the specialist consultant managing this position, located in Hong Kong
6604-06,66/F, ICC, 1 Austin Road West, West Kowloon

Telephone: +85222307451