Vice President, Compliance & Control, Investment Bank recruitment
Reporting to the APAC Head of Compliance, you will have full responsibility for the implementation of a global compliance policy and procedures across the regional offices - Hong Kong, Singapore, China, Taiwan, Korea. You will review sales and trading activities across the equities business and highlight transaction activity that may run contrary to policy and regional regulatory requirements. You will maintain and improve the current risk and controls framework and set up a system of alerts, determining their threshold in order to identify potential breaches of regulations and/or policy. In order to achieve region wide compliance, you will need to ensure that management and operational heads fully integrate all internal guidelines and communicate effectively across business groups. Furthermore, you will be required to assist with additional compliance duties and projects as required by the Head of Compliance.
The successful candidate will possess at least 5-7 years' relevant compliance, risk and control experience gained within an international financial institution. You should be able to demonstrate a thorough background knowledge of investment banking products as well as regional regulatory requirements. Above all, you will possess a methodical and process driven approach to problem solving and an aptitude for identifying risk. Excellent communication and stakeholder management skills are essential. Fluency in spoken and written English and a Chinese language preferred.
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