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Job ref no.: CT3114387-01#7288

Senior Vice President V Compliance (Corporate Finance)

Conners Recruitment


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Our client, a well-established investment bank to invite high caliber candidates to join their company.

Responsibilities

  • Responsible for handling the compliance related issues for Corporate Finance and Global Capital Markets Department
  • Develop and implement an effective compliance framework and ongoing compliance monitoring programs
  • Perform regular hands-on compliance checking, identify potential compliance risks and develop precautionary measures by developing and maintaining an effective internal compliance alert system
  • Draft internal policies, procedures and guidelines to ensure business in compliance with the relevant regulatory requirements
  • Coordinate and liaise with regulatory authorities and other relevant counterparties for regulatory enquiries, reporting, inspection, investigation and due diligence
  • Assist in legal documents vetting whenever necessary

Desired Skills & Experience:

Requirements:

  • Degree holder in Law, Accounting or equivalent
  • Minimum of 6 years relevant experience in financial industry, candidates with experience in handling or liaising with counterparts in international offices is preferred
  • Sound knowledge in AML matters and asset-backed securities (ABS) compliance will be a definite advantage
  • Excellent knowledge of SFO, Listing Rules and Takeover Codes
  • Good command of written and spoken Chinese and English (fluent in mandarin is preferred).
  • Good management skill, initiative and logical sense, as well as, with strong sense of responsibility

 

Interested parties please click Apply Now

All data collected will be used for recruitment purpose only & will be used strictly confidential.

Conners Consulting Limited

2005 Kai Tak Commercial Building 317 Des Voeux Road Central Hong Kong

Tel: (852) 3996 8090 Website: http://www.connersconsulting.com/

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More job information
Job ref no. CT3114387-01#7288
Salary
  • N/A
Job Function
Industry
Employment Term
  • Full-time
Experience
  • 6 years - 11 years
Career Level
  • Senior management level
Education
  • Degree