Our Client is Investment Bankng / Securities

VP Compliance – Investment Banking/Control Room $50K

RESPONSIBILITIES 

• Advise management and relevant business units on compliance-related issues
• Develop, update and review compliance policies and guidelines
• Review policies and procedures prepared by other departments and provide input to ensure compliance with applicable legal and regulatory requirements
• Handle compliance issues related to regulated activities
• Perform compliance monitoring and ad-hoc compliance review or investigation, e.g. customer complaint cases and suspicious transactions
• Conduct AML and KYC checking
• Liaise with business, operations and auditors on compliance issues
• Assist in answering inquiries from regulators
• Promote compliance awareness and culture of the bank, including development and delivery of compliance trainings
• Perform ad-hoc compliance projects

REQUIREMENTS

• Bachelor degree in Law, Accounting, Business or a related discipline
• Minimum 5 years of relevant compliance experience with financial institutions and/or regulatory bodies
• Well-experienced in investment banking business or control room function with good knowledge in securities laws, operations, products and services, and a sound understanding of current trends in investment banking operations and industry
• Well-versed in Securities and Futures Ordinance and Listing Rules in HK; in-depth knowledge of regulatory requirements and financial markets
• Pragmatic, proactive and patient with strong determination to understand thoroughly about contentious issues and resolve them accordingly
• Excellent communication skills in both spoken and written English and Chinese with fluency in Mandarin
• Strong interpersonal skills with an ability to interact with different stakeholders including regulators as well as colleagues of Investment Banking, Research, and Sales and Trading Departments
• Ability to identify and analyze complex regulatory, compliance, and business issues
• Strong problem solving skills and able to meet tight deadlines
• Ability to manage multiple projects and work effectively in a highly confidential and fast-paced environment

Please send full resume with present & expected salary in MS-WORD format to:

Please quote our reference in your application

Personal data provided by job applicants will be used strictly in accordance with the employer"s personal data policies, a copy of which will be provided upon request.

All information provided will be used for recruitment purpose only.

Asia Progress is a well-established and reputable boutique talent acquisition agency specialising in the Banking & Finance industry. We firmly believed in providing exclusive and bespoke talent search to our clients and career advice to our candidates. 

Equipped with solid experience in recruiting for all levels, we have successfully developed an established and renowned practice. Our reputable network in the Banking & Finance industry is what makes us stand out from our competitors and enables us to remain competitive yet at the same time providing professional talent search and career advice.

For enquiries and contact details, please visit: www.asiaprogress.com.