This leading investment bank who provide a full suite of financial products and services, from banking and investments to asset and risk management are seeking a seasoned compliance professional to join their investment banking and capital markets function. This role will contribute to the independent compliance oversight of Front Line Unit (“FLU”) and Control Function (“CF”) performance and any related third party/vendor relationships in alignment with the compliance risk management program and the global compliance enterprise policy.
As a member this role applies business acumen to promote a culture of compliance and the identification, escalation and timely mitigation of compliance risks by assisting FLU or CF compliance teams with any of the following activities:
- Create and maintain a regulatory inventory.
- Update relevant policies to ensure they reflect regulatory requirements for FLU/CF.
- Contribute to compliance risk assessments.
- Contribute to monitoring and testing coverage plans and related metrics.
- Monitor and test the effectiveness of the front line unit and control function compliance risk controls for FLU/CF.
- Identify aggregate, report and escalate compliance risks, issues and control enhancements for FLU/CF.
- Assist in the execution of governance and management routines.
- Identify compliance training needs and inspect FLU/CF and third party participation for FLU/CF.
- Assist with preparations for regulatory exams and audits for FLU/CF.
- Inspect that commitments made regarding actions in response to Matters Requiring Attention (“MRAs”) and other actions are completed for FLU/CF.
- Escalate regulatory relations concerns to Compliance Manager or Executive.
- Minimum 5 years of relevant investment banking and capital markets compliance experience. In addition to the specific investment banking and capital markets compliance experience, relevant working experience in HKMA and SFC is a plus.
- The candidate needs to demonstrate good knowledge and experience in dealing with various regulatory framework in various jurisdictions in APAC.
- Bachelor’s degree or equivalent experience.