Compliance Manager
- Newly created role in Hong Kong
- Reporting to the Head of Compliance based in Hong Kong
About Our Client
Our client is an expanding Investment Bank, is looking to enhance its compliance function as it continues to build its business across Asia.
Job Description
- Assist with regulatory liaison, including meeting with the regulators, responding to regulators’ requests and inspections
- Provide compliance guidance and advise management and frontline staff on any compliance issues including advise on any regulatory or reputation risk in respect of new engagements/clients
- Act as the Deputy Anti-Money Laundering Compliance Officer (AMLCO)
- Follow-up on any reported complaints with the department concerned to ensure it is being addressed in a timely manner
- Review of new activities or product
- Undertake compliance testing and other reviews pursuant to internal policies
- Monitor staff’s personal account dealing
- Review research reports and advise on research issues
- Assist with conflicts clearance
- Manage the wall crossing process and facilitate wall crossings
- Advise on due diligence on Corporate Finance/ECM deals
The Successful Applicant
- Minimum 4 years of hands-on experience in compliance relating to Investment Banking and Equity compliance matters in Hong Kong
- You should have product knowledge in Cash Equities
- Well organized, self-motivated, responsible and able to work under pressure and independently
- Good command of spoken and written English
What's On Offer
- International, fast-paced working environment
- Highly competitive compensation package
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