Private Side Compliance - Investment Banking (Director level)
My client is a multinational banking group who operate in 5 key areas. You will be joining their corporate and investment division to come in as a Private Side Compliance advisor at a Director level in Hong Kong.
The role itself will require you to cover compliance work that has arisen from business operations with a primary focus on private side activities such as capital markets, leverage finance, securities and equity derivatives etc.
- Ensure adherence to processes, policies and procedures in compliance and regulatory requirements to private side activities
- Participate in validating process for new products, processes and activities
- Support and advise the business and other teams on regulatory and transactional issues
- Assist with the relationship with local regulators and handle requests
- Advise on advisory, M&A and applicable regulatory rules and standards
- 5+ years experience in an investment bank, preferably in a compliance department
- Strong knowledge of the local and regional regulations (Hong Kong and APAC)
- In-depth knowledge of financial products, M&A and advisory services in an Asian jurisdictions
- Knowledge of Dodd-Frank, MiFID, EMIR and Volcker rules are considered very highly
- Strong experience of the region would be an advantage
If this is something of interest, please apply below and one of our consultant will be in touch!
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