Control Room Compliance, I-Bank (Buy side compliance welcome)

Hong Kong Permanent
  • Welcome asset management compliance candidates
  • Promising career path and growth opportunities

About Our Client

My client is a leading investment bank which provides a wide range of financial services including corporate finance, asset management and securities brokerage to domestic and international clients. They are looking for a committed and high calibre candidate with 3-5 years of Control Room Compliance experience to join their expanding team.

Job Description

  • Handle compliance matters in Corporate Finance and Global Markets, including compliance review, NDA and mandates vetting, conflict/independence checks and placing transaction review
  • Maintain control room functions
  • Collaborate with Proprietary Traders, Research department and senior management in respect of daily compliance issues, new development in regulatory requirements and market tends etc. to maintain high level of awareness of potential risks
  • Provide compliance training to relevant business units on updated regulations and guidance

The Successful Applicant

  • Bachelor degree or above in Law, Economics, Finance or a related discipline
  • 3 to 5 years of relevant control room compliance experience with financial institutions and/or regulatory bodies
  • Experienced in investment banking business or control room functions with a sound understanding of SFO/Listing Rules, operations, products and services
  • In-depth knowledge of regulatory requirements and current development in investment banking operations
  • Pragmatic, proactive and diligent with strong determination to understand thoroughly about contentious issues and the ability to resolve them accordingly
  • Excellent communication skills in both spoken and written English and Chinese

What's on Offer

  • Excellent exposure in a reputable Investment Bank
  • Attractive salary package with market-leading bonus
  • Steadily growing business and renowned platform
  • Strong group resources and management support

Olivia Xie
Quote job ref
Phone number
+852 2258 3411

Job summary

Job Type:
Consultant name
Olivia Xie
Consultant phone
+852 2258 3411
Job Reference