Job ref no.: CT3114387-01#7288

Senior Vice President V Compliance (Corporate Finance)

Conners Recruitment


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


  • 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:


  • 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

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Conners Consulting Limited

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

Tel: (852) 3996 8090 Website:

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