VP – IBD Compliance recruitment
Responsibilities:
- Providing compliance support for all areas of the Investment Banking Department
- Responding to all enquiries arising out of the different units across IBD, including advice on/interpretation of compliance policies and procedures
- Providing compliance advice for MA activities and implementing applicable Bank policies and procedures
- Updating and maintaining systems which are used to manage Information Barriers within IBD, Research and Securities Sales and Trading areas including the watch and restricted list
- Responding as applicable to regulatory enquiries
- Be the liaison person for Litigation and IBD Control Room in connection with regulatory inquiries on given IBD transactions.
Requirements:
- Undergraduate degree in a related discipline
- A minimum of 5-7 years Investment Banking or Financial Services work experience, dealing with regulatory issues including experience dealing with IBD Compliance
- Familiarity with listing rules, sponsor rules, stablization rules, takeover codes for Hong Kong and Singapore
- Able to work independently as well as a team player
- Proactive and self-starter attitude
- Mandarin skills are preferable but not essential
Candidates from a Legal or Regulatory background will also be considered, if they have the skills and capabilities described above.
If you are interested in this role, please contact Jyoti Golchha on jgolchha@morganmckinley.com.hk
April 20, 2011
• Tags: IBD Compliance recruitment, Investment Banking, M & A careers in the Hong Kong SAR, VP • Posted in: Financial