Job Highlights

  • Complaint/Dispute regulatory correspondences,APAC
  • Legal Department and Senior Management,Regulatory
  • Information gatherng,Conduct investigation,Analyst

Job Description

Title:  Compliance Analyst- Complaints / Legal Resolution Group

Location:  Hong Kong


Our client is a leading financial services group that are leaders in their field. One of the world’s most dynamic banking and financial services groups, that have embraced technology and leading markets products to maintain competitive advantage. The Compliance team is seeking to boost its regulatory complaints and regulatory response handling team with additional hires and is seeking experienced compliance complaints and dispute resolutions specialist.

Aspiring paralegals with relevant experience financial services dispute handling, or a candidate with law or legal educational background with strong compliance or regulatory complaints and/ or  customer service disputes handling background will also be of interest.


Reporting to the Team Head of Compliance Complaints and Regulatory Disputes Resolutions. The main responsibilities for this role include:

  • Focus on complaint/dispute related regulatory correspondences
  • Assist in information gathering, conduct investigation and prepare detailed review on complaint/dispute cases
  • Assist in drafting written response to regulators and complaint authorities for IBKR entities within APAC
  • Propose resolutions to complaint/dispute cases which in line with the relevant regulatory requirements and overall business strategy goals
  • Escalate issues and work with Legal Department and Senior Management where appropriate on sensitive matter
  • Assist in court documentation and settlement agreements filing
  • Monitor in an on-going basis to ensure complaint/dispute is addressed and handled in timely and quality manner


  • University qualification in a relevant discipline – law degree preferred.
  • Sound knowledge in brokerage business with experience in complaint handling or customer service will be an advantage
  • Strong interpersonal skills, good oral and written communication skills with a focus on finding mutually beneficial solutions for customers and the company
  • Must be a self-starter with strong analytical skills and the ability to work at a fast pace and with deadlines to timey responses.
  • Comfort with computers and technology and understanding of how technology is applied to business and regulatory problems.
  • Proficiency in written and spoken English is essential.

Work Benefits/ Work Environment:

  • Western and friendly company culture.
  • Discretionary year-end bonus.
  • Shares options
  • Great Career progression.
  • Fully comprehensive medical insurance
  • Free lunches etc

Harbridge Partners Limited
Employment Agency Licence:  65522

Job Functions: Banking / Financial Services / Insurance Legal / Governance / Risk / Compliance
Job Type: Full Time Permanent
Years of Experience: 3 Years

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