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Compliance Consultant, Conduct/Conflicts & Ethics

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Axiom Law

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Location:
Hong Kong , Hong Kong

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Category:
-

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Contract Type:
Not provided

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Salary:

Not provided

Job Description:

We are currently seeking a Compliance Consultant - Conduct / Ethics to provide on-going support to our Fortune 500 client in financial services sector.

Job Responsibility:

  • Provide day-to-day support for central compliance and code of ethics activities, including review and approval of gifts and entertainment, outside business activities, and personal trading pre-clearance requests
  • Assess transactions and firm touchpoints to identify potential conflicts of interest, documenting analyses, tracking deal updates, and recommending mitigation strategies
  • Maintain and enhance restricted and watch lists by evaluating transactions and coordinating with legal, compliance, and deal teams on MNPI/inside information and list changes
  • Review, monitor, and escalate relevant personal trading and transactional activity, including wall-crossing requests and trade pre-clearances from public-side businesses
  • Draft and coordinate responses to regulatory examinations and related information requests

Requirements:

  • Bachelor’s degree or equivalent
  • 5-10 (+) years of relevant experience in financial services, ideally in a control room, conflicts management, or legal/compliance role
  • Experience responding to regulatory examinations by securities regulators and/or self-regulatory organizations
  • Strong analytical, issue-spotting, and problem-solving skills, with the ability to clearly explain decision rationales
  • Excellent attention to detail and organizational skills

Nice to have:

Experience responding to regulatory examinations by securities regulators and/or self-regulatory organizations

What we offer:
  • health benefits
  • paid time off
  • access to professional development resources and learning and development programs

Additional Information:

Job Posted:
March 19, 2026

Work Type:
Remote work
Job Link Share:

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