Compliance Manager, IBD and Research recruitment
Our client, a tier 1 institution, seeks a high-caliber compliance professional to join their busy IBD compliance team in Hong Kong. Opportunity for regional exposure, this role works very closely with the business.
The key responsibilities in this role will be:
- Promoting an awareness of compliance across the investment banking division of the institution as well as other key business lines.
- Keep up-to-date with all regional regulatory changes
- Actively participate in developing and implementing compliance policies and procedures
- Deliver compliance training
- Be the point of contact for queries raised by the business
- Participate in internal audits and self assessments from regulators.
- Compliance testing
- Co-ordinate with other legal and compliance departments on improvements and changes to the compliance framework.
Candidates should come from a strong compliance background with a demonstrable understanding of investment banking compliance, ECM, DCM and research. Additional Asian language is highly desired, particularly Mandarin speakers.
Candidates should submit their profile in the first instance or contact jfulton@ardentem.com for further information.