VP/ AVP, Control Room, Investment Banking

Salary : $600000 - $840000
Location : Central and Western District
Post Date :

Description :

The Company

My client is a sizable Chinese financial institution with an established platform investment banking, across asset management, corporate finance, brokerage, securities and wealth management. Your exceptional compliance skills are required to provide ongoing advisory and monitoring for the Investment Banking and Research businesses.

The Role

  • Provide compliance advisory on wall- crossing request, conflict clearance, watch/restricted lists updates, regulatory requirements and internal policies and procedures
  • Provide oversight and monitoring on control room functions such as research clearance, conflict checks, and dealing restrictions
  • Review and update policies and procedures to ensure regulatory standard in IBD and control room functions
  • Liaise with key stakeholders such as other compliance teams, business units, and risk management department
  • Handling enquiries from regulators on licensing and other related matters
  • Provide internal compliance trainings to internal staffs on regulatory developments, new business initiatives, and policy enhancements

Your Profile

  • Degree holder with minimum 5 years of relevant experience in Investment banking, securities, stock exchange or regulatory bodies
  • Well versed with SFC and other regulator rules and regulations for Type 4 and 9 regulated activities
  • Good communication and interpersonal skills
  • Ability to make judgement calls in real time
  • Candidate with less experience can be considered for Assistant Manager grade

Apply Today

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Hong Kong

21st Floor, Nexxus Building,
41 Connaught Road,
Hong Kong
Phone : +852 3653 7300

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