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VP – IBD Compliance, Global Investment Bank in Hong Kong
Aquis Search, EA Licence No: 16S8125
June 13, 2018
Responsibilities of the role:
Provide compliance and regulatory advice to the Corporate Finance on transactions and general matters on a daily basis.
Evaluate compliance with relevant rules and regulations, issue identification, assessing the impact of regulatory change and working with the businesses to build and maintain control mechanisms to be in compliance with relevant laws and regulations in order to protect the reputation of the Bank
Assess the businesses' process, new initiatives and new product and/or transaction approvals from a regulatory perspective. Design and drive implementation of necessary process and procedures in response to changes to regulations and Bank's policies.
Work closely with Compliance senior management and the businesses to manage potential compliance and reputational risks
Perform compliance monitoring of businesses' activities and controls, document findings, breaches and weaknesses and drive execution of remediation actions, if any
Assist in handling regulatory enquiries, investigations and management of regulatory inspections as they each relate to the Corporate Finance businesses and coordinate respond with other departments in the Bank
Requirements of the role:
University graduated with at least 8 years of working experience in the banking industry with exposure to debt and equity capital markets.
Good product knowledge and know-how of corporate finance business and products
Knowledge of banking rules and regulations, and familiar with the global banking practices and regulatory environment is an advantage
Strong communication (both verbal and written) and interpersonal skills with ability to build good relationship with different business and infrastructure departments and at various level of seniority