Compliance Vice President (Corporate Finance -1,4,6,9)
Harbridge Partners Limited
HK$70,000 – HK$90,000 /month
Posted 5 hours ago
- Compliance VP, Corporate Finance, Control room
- Investment banking, IBD, M&A,DCM, ECM, team lead
- Great management, no MLRO / MIC requirement
Our client is a well-known investment banking and brokerage group with SFC type 1,4,6,9 licenses. Their business covers securities trading, wealth, management, asset management, and corporate finance. They are now looking for an experienced compliance professional with solid corporate finance/control room experience to be one of their team leaders.
- Reporting to the Head of Compliance, the VP will be required to provide assistance in various functional areas, which may include:
- Oversee Control Room functions to comply with requirements of Disclosure of Interests under SFO and the relevant SFC Codes; and handle research and conflict clearance.
- Lead and manage the IBD compliance function with full ownership on the advisory work.
- Work closely with our Investment Banking Division (IBD), which includes but not limited to Corporate Finance, M&A, ECM, DCM.
- Be able to play an internal regulator/adviser role with Control Room function on ongoing projects and investment activities.
- Report any non-compliance in accordance with protocols and suggest actions for resolution, compliance improvement planning etc.
- Primarily support HK-based corporate finance business, managing a team of 3.
- To identify and anticipate potential risks on regulatory matters and impacts on the financial market operations.
- Be able to mitigate regulatory risk and breaches with recommendations.
- Provide regulatory interpretation for the business units.
- Work with legal, compliance and other support staff across the region and in other regions to advise on and address cross-jurisdictional compliance matters.
- Provide compliance advise to Front Office and respond to BAU queries.
- Work with senior stakeholders to ensure efficiency in compliance controls and measure.
- Build and maintain strong relationships with regulatory bodies.
- Advise management and relevant business units on compliance-related matters/ issues, including the review of new products/ services from a compliance perspective.
- Minimum of 7 years of experience in compliance.
- Experience in performing compliance or similar training, development of policies and procedures (and related guidelines), and the conduct of compliance reviews and investigations.
- Sound working knowledge of (i) the SFO and subsidiary regulations; and (ii) other regulations which may be relevant to company’s business activities (e.g. those enforced by CIB, MPFA, SEHK, HKFE).
- Good command of written and spoken English and Chinese.
- Strong ethics, integrity, and enthusiasm.
- Good leadership, communication (oral & written), interpersonal, analytical and presentation skills.
- Friendly company culture.
- Competitive yearend bonus.
- Great annual leave package
- Great Career progression.
- Fully comprehensive medical insurance and personal insurance
- Great MPF Pension Scheme
Job Functions: Banking / Financial Services / Insurance
Job Type: Full Time Permanent
Years of Experience: 7 Years