VP, Product Compliance, Investment Banking & Capital Market
Location : Central and Western District
Post Date : 25 May 2017
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.
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
- 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
- To apply online (Word attachment only), please click the 'Apply' button. Please note that only short-listed candidates will be contacted.
41 Connaught Road,