Job ref no.: CT3114388-01#7569

Investment Banking Compliance - VP/Senior Manager

Robert Walters

  • Discretionary bonus

This person will be the primary compliance professional for the investment banking/capital markets business here in Hong Kong and will therefore be entrusted with a great deal of responsibility to ensure world class compliance and controls for the business.

Primary responsibilities will include:

  • covering all general compliance matters including refining the compliance manual, overseeing review of staff activity, leading ongoing compliance trainings and any other general matters as required
  • leading KYC and on-boarding of new high profile clients both insititutional and UNHW
  • providing compliance advice to business units on time sensititive matters related to both trading and advisory activities
  • working with the firm's global European headquarters on global policy and projects

This person should have:

  • minimum 8 years of experience in compliance within global financial services companies
  • experience dealing with SFC regulator directly, experience dealing with MAS will also be beneficial
  • knowledge of structured or non-listed investment products
  • Fluency in English and Cantonese

Get in touch

Tony Wilkey

+852 2103 5338

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More job information
Job ref no. CT3114388-01#7569
  • N/A
Job Function
Employment Term
  • Full-time
  • 8 years - 13 years
Career Level
  • Senior management level
  • N/A