Associate / Analyst, Investment Banking & Control Room Compliance

• Execute ad-hoc tasks and projects as needed • Perform control room functions and manage matters • Master or Bachelor’s degree in Law Job Responsibilities : • 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 operational procedures in alignment with the evolving regulatory environment. • Liaise and collaborate closely with stakeholders to implement compliance-related projects. • Deliver ongoing internal training on compliance matters. • Assist in handling requests, inquiries and examinations from regulators as needed. • Execute ad-hoc tasks and projects as needed. Job Requirements : • Master or Bachelor’s degree in Law, Regulatory Compliance, Accounting, Finance, Business Administration, or a related field. • 2 years or above of demonstrated experience in primary capital markets compliance or control room, preferably within a Chinese-based securities firm. • Practical experience or strong familiarity with AI/automation tools used in compliance is highly preferred. • Strong analytical mindset with a curiosity for leveraging technology and data to solve compliance challenges • Self-motivated with the ability to work both independently and collaboratively in a dynamic environment, demonstrating a strong sense of responsibility. • Proven career progression reflecting long-term commitment. • Proficient in written and spoken Mandarin, Cantonese and English.