As an important member of their HK Compliance Team, you will report to the Head of Compliance HK and be responsible for providing compliance advice to the Global Investment Banking Business, compliance advisory for M&A, ECM, DCM, and IPO business, ongoing compliance training for front office staff, and handling regulators' (HKEx, HKMA & SFC) on-site exams and inquiries. You will also be responsible for oversight of the control room and research compliance duties.
Your Profile
The successful candidate will be a degree holder in Law or Accounting, with a professional qualification is highly preferable. You will have at least 7 years of compliance experience in a brokerage or investment banking environment, with solid experience in investment banking products (ECM, DCM, IBD & IPO). You will possess excellent presentation and communication skills (Fluent Cantonese and English are a MUST) and an ability to deal with all levels of an organization.