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Capital Markets Compliance Manager

Job Summary

  • Hong Kong
  • Permanent
  • Ref ID: BBBH719298
  • Mar 03, 2019
  • HK$61,000 - 70,000/month

Our client is a global bank looking to expand their controls functions in APAC. They are currently looking to recruit a manager for the capital markets compliance team based in Hong Kong. With the changing regulatory landscape you will have strong knowledge of global capital markets and be able to build strong relationship with the trading floor.


  • Provide advisory services to the Hong Kong / APAC capital markets business Review and advise on any new business/project initiatives
  • Working with the global / regional capital markets compliance teams to enhance standards of conducts and sharing updates on regulatory changes
  • Identify any compliance risks and investigating actual or potential breach of relevant rules and regulations
  • Provide update of latest regulatory changes and developments, new rules and regulations which affect the business
  • Liaise with regulators and work with other control functions for compliance reviews
  • Conducting compliance training when required


  • University graduate in accounting, finance or legal
  • At least 7 years relevant experience in Equities or Fixed income from the investment banking sector
  • Strong knowledge of regulatory requirements in Hong Kong and exposure to regional regulations is preferred
  • Have experience in detailing with HKMA and SFC is required
  • Detailed oriented and strong ​​problem solving skills
  • Good communications skills and able to work cross functional likes
  • Strong English and Chinese if preferred

Less experinced candidates with relevant product knoweldge will be considered for Assistant Manager role.

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