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Head of Asia Compliance - Investment Bank
European investment bank
About Our Client
Our client is a well known European Banking group. They are seeking an experienced investment banking compliance specialist to lead and drive the compliance piece across the region. This role will involve travel to Singapore roughly 2 days a month.
Reporting directly into the Hk entity CEO, your responsibilities would include:
- Providing advisory on compliance, regulatory and policy issues as well as handling licensing applications (focusing on the SFC and HKEX)
- Mitigating the risks to the businesses with regards to trading and risk manager activities
- Gap analysis and the updating of policy and proceedures
- Facing off to the relevant regulatory bodies
- Designing, implementing and testing the control framework - focusing on surveillance and forensic reviews
- Training and educating the bank's staff
The Successful Applicant
You will ideally be a Master of law or equivalentwith the Bar exam or LLM preferred. Other relevant degrees also acceptable. You will have a minimum 7-10 years compliance experience with at least 5 gained in an investment banking institution with type 1 and type 2 regulated activities. You will also have strong local regulator experience - with the SFC and HKEX being essential and the MAS an added bonus. Your product knowledge will need to be strong in cash equities as well as structured products and structured derivatives. Fluency in English essential.
What's on Offer
Excellent package including benefits