HONG KONG – APAC Head of IBD Compliance for TOP TIER Investment bank, APAC Coverage recruitment

Asia Pacific Head of Investment Banking Division Compliance

Our client is looking for a qualified individual who will lead Asia Pacific IBD Compliance and Control and to work with Investment Banking Division Asia Pacific management team in conjunction with Head of Compliance, Global Investment Banking Division Compliance team and other Compliance team members on advisory matters.

The successful individual will be reporting to the Head of Compliance, North Asia and Global Head of Investment Banking Compliance base in London.

Responsibilities

• Work closely with the business ( and close involvement with senior management) and other infrastructure areas

• To manage and lead Control Room

• Main product focus including, MA, ECM, DCM and other corporate finance. To advise on HK Code on Takeovers and Mergers and Share Repurchases and other relevant regulations within the AP region

• To advise on ECM and other Equity Origination activities not limiting to IPOs, right issues, privatisation and other corporate actions

• To act as contact person and work with the SFC with respect to the Code and other corporate finance activities

• To act as the Asia representative for Global Compliance Product Group

• To update Global co-ordinators from time to time

• To work with Equity Compliance on required transactions

• To develop internal policies

• To deliver trainings as appropriate

• Provide compliance feedback on New Product Sign-off projects

• To advise Compliance Large Holding and Monitoring team

• Review and preparation of regulatory reports in the region.

• Assist and compiling and responses to regulatory queries/investigations

The Candidate

• Degree holder

• Minimum 10 years of relevant experience working in investment banks with MA, Takeover and ECM Compliance experience

• Strong understanding of both the regulatory frameworks and compliance environment and good internal control knowledge.

• Strong understanding of regulations with respect to Asia Pacific Regional MA and ECM rules and regulations including Hong Kong, Singapore, China, Japan, Australia, India, Korea.

• Excellent analytical skills.

• Ability to become familiar with new product s and regulatory requirements and learn quickly.

• Detail oriented.

• Ability to make decisions and respond to issues promptly under pressure.

• Excellent orgnaisational skill, able to manage daily queries with ongoing projects.

• Ability to work closely with IT to find both technical and procedures solutions.

• Quick thinker with ability to understand complex transactions and explain compliance issues clearly and concisely.

• Project experience, team player and confident.

Interested parties please send your resume in WORD format to lani.torres@bo-le.com or please call +852 2913 9391 for further details.