VP, Product Compliance, Investment Banking & Capital Market

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Salary : $1080000 - $1200000
Location : Central and Western District
Post Date :

Description :

The Company

Our client is a well-recognized investment bank with an established presence in APAC region, and your exceptional skills are needed for Product Compliance function. With a streamlined organization this company is set for growth, and here is an exciting opportunity to be part of a business that continually invests in its employees by providing ongoing training, networking and mobility.

The Role

As a direct reporter to the MD you will serve as the VP, Product Compliance to provide oversight and enhance the business and control functions across the banking group.

  • Develop and maintain a regulatory inventory
  • Conduct compliance monitoring and testing, identify, escalate, and report compliance risks and issues
  • Review and update compliance policies for business and control functions to ensure regulatory requirements
  • Ensure internal governance and management mandates
  • Set up relevant compliance trainings according to the banking group's needs
  • Prepare for regulatory exams and audits
  • Escalate related regulatory concerns to Senior Management

Your Profile

  • Degree holder in Accounting or Law, with relevant professional qualifications
  • 6 to 10 years of compliance experience in Investment Banking and Capital Market (IBD), experience in regulatory bodies is a plus
  • Familiar with HKMA and SFC along with various regulatory framework in various jurisdictions in APAC
  • Strong leadership and analytical skills
  • Excellent command in spoken and written English and Chinese, Mandarin is a plus

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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