IBD Compliance, Senior Associate
IBD Compliance, Senior Associate
Our client is a top-tier investment bank. A newly-created opportunity in its IBD/MBD compliance team for a solid compliance professional to join this well-established team in Hong Kong!
You will be supporting the investment banking and merchant banking division to provide regulatory and compliance support and will be reporting directly to the Head of IBD.
In the role you will:
• Advise on compliance, regulatory, policy and reputation issues, as well as advise on new business initiatives;
• Implement testing and monitoring to assess the effectiveness of controls and surveillance
• Work on the development of policies and procedures;
• Design and deliver training on policy and procedures;
• Create controls and help implement surveillance to ensure adherence with relevant laws and regulations;
• Work closely with investment bankers and Legal in regards of investigation cases and regulatory inquiries
• Design and provide compliance training on related procedures and policies
The team is ideally looking for a candidate with:
• Minimum of 3 years’ compliance experience, ideally in an investment banking environment
• Possess excellent interpersonal and communication skills
• Fluency in English, Cantonese and Mandarin
• Work well under pressure and have a positive working attitude
• Quick learner and self-starter
For more information or a confidential conversation please contact Jenny Yeung on +852 2973 6333 or email jennyyeung@taylorroot.com.hk.
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