COMPLIANCE MANAGER
CIMB Securities is looking to enhance its compliance function as it continues to build its business across Asia. CIMB Securities in Hong Kong has an equities broking business as well as an investment banking business focused on advisory and capital markets.
Key Responsibilities:
- 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 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;
Requirement
- Minimum 4 years’ hands-on experience in compliance relating to Investment Banking and Equity compliance matters with product knowledge such as Capital Markets and Equities/Research.
- Well organized, self-motivated, responsible and able to work under pressure and independently.
- Good command of spoken and written English.
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