AVP Investment Banking & Research Compliance – Top Tier Investment Bank recruitment
***Top Tier Investment Bank looking for a Manager within Investment Banking Research Compliance focussed on Investment Banking, Global Capital Markets, Research, Merchant Banking and Real Estate Finance within the Group with international reporting lines.***
This is an excellent opportunity to get maximum exposure to the front office environment operating with both the banking and research teams. There is the opportunity to progress to a senior finance position or alternatively take on a position within the front office.
The role is to develop and promote the group’s Compliance Program, ensuring that the activities in Asia are in compliance with the group’s policies and procedures, and with all relevant rules and regulations in the jurisdictions where it operates in Asia.
RESPONSIBILITIES:
- Monitor relevant rules and regulations in the Asian jurisdictions.
- Assist with the development and implementation of compliance policies and procedures.
- Participate in the development and delivery of compliance training.
- Provide guidance to employees.
- Field questions regarding Firm compliance policies and procedures.
- Assist with internal audits and regulatory examinations.
- Participate in the development of compliance program and forensic testing plans.
- Conduct reviews to test compliance with policies and procedures and coordinate follow-up or improvements.
- Coordinate with other areas of the Legal and Compliance Division in respect of ongoing compliance policies, e.g. employee trading, disclosures of interest etc.
QUALIFICATIONS:
- At least 5 years of compliance experience in financial services industry.
- Practical knowledge in financial services regulations and compliance practices across Asia and Greater China.
- Strong English communication skills (oral and written) with business-level fluency in Mandarin.