Associate Director – Regulatory Compliance, Investment Products

  • Negotiable
  • Hong Kong
  • Permanent, Full time
  • Allegis Group Hong Kong
  • 25 Sep 17 2017-09-25

• A regional role • Exposure towards Fintech • Central MTR


This organisation is a global market leader in the field with total assets more than US$2 trillion. To further support the growth of their business, they are currently seeking an Associate Director for their investment banking unit. Reporting to the team head, he or she will be part of a team of 4.


  • Understand and implement regulatory compliance control procedures using all relevant internal and external rules and regulations that apply to the conduct of the business;
  • Liaise with senior and regional management to implement regulatory compliance plans agreed with the Head of Regulatory Compliance;
  • Advise on regulatory compliance matters as they effect the relevant areas of the investment banking business;
  • Provide training to business areas in procedures and practices necessary to achieve excellence and business goals;


The successful candidate will need at least 8-10 years of experience in either internal audit or regulatory compliance. If he or she have done projects in OTC, conduct risk or change management it will be an added advantage. Possess strong analytical and data management skills, confident, and detail oriented is required. Strong communication skills in English is a must. 


This is an excellent opportunity to work within a rapidly expanding business. This is also an opportunity to step up as a leader


To apply, please submit your resume in Word format directly using apply now or contact Polly Yeung on +852 3473 3064 for more information.