CLIENT BACKGROUND
A global investment bank is seeking a seasoned compliance professional to join its Hong Kong office as a Director, Investment Banking Compliance. This is a strategic role supporting the firm's capital markets business across Asia, with a focus on both DCM and ECM advisory and execution.
JOB RESPONSIBILITY
- Act as a senior compliance advisor to the Investment Banking Division, covering deal origination, structuring, and execution.
- Provide guidance on regulatory developments, internal policies, and control frameworks.
- Collaborate closely with stakeholders across Legal, Control Room, and Research to ensure seamless compliance coverage.
- Lead or support initiatives related to regulatory change, surveillance, and governance.
JOB REQUIREMENTS
- 10-20 years of experience in compliance within investment banking or capital markets.
- Strong understanding of Hong Kong and regional regulatory frameworks (e.g., SFC, HKEX).
- Proven expertise in DCM and ECM transactions, ideally with exposure to cross-border deals.
- Excellent communication skills in English, with the ability to engage senior stakeholders confidently.
- Professional, polished, and proactive approach to problem-solving and risk management.
