Description

A boutique investment bank is hiring a compliance professional to work hand-in-glove with its Head of Legal & Compliance. This is a broker-dealer with a genuine cross-border footprint into Asia, so you get real regulatory breadth and a direct line to senior leadership rather than a siloed seat. Open at Associate, or VP level depending on what you bring.

What you'll do:

1. Partner directly with the department head on the firm's compliance program, with visible impact from day one
2. Build and maintain firm-wide policies and procedures across research, sales and trading, employee trading, and outside business activity
3. Run AML surveillance and help keep the firm's monitoring sharp
4. Coordinate cross-border compliance and legal initiatives with colleagues in Hong Kong and Beijing
5. Help plan and document the annual compliance meeting, and keep compliance records audit-ready

What you'll bring:

1. Two to four years of core compliance experience at a broker-dealer or similar
2. Hands-on AML surveillance experience and working knowledge of WorldCheck
3. Familiarity with FINRA CRD and employee registration (U-4 / U-5 filings)
4. Strong analytical judgment and plain good sense
5. Series 7 and 63 preferred (or willingness to obtain within 60 days of joining)
6. Bonus points for: experience inside a multinational organization or a paralegal background

The package:

1. Level and comp scaled to experience, from Associate up to VP
2. A seat with senior visibility and cross-border scope, not a back-office box-ticking role