Vice President, Compliance (DCM & Control Room)
Harbridge Partners Limited
Central & Western Area
Posted on 20-Feb-23
- DCM,ECM,Compliance,Control room,Restricted list
- Regulatory,Debt Capital Markets Compliance,SFC
- VP, AVP, Mandarin, Cantonese,English,SFO,SFC Codes
Title: Vice President, Compliance (DCM & Control Room)
Location: Hong Kong Island
Our client is a major investment banking and securities group with an enviable track record in the APAC region , particularly Hong Kong and Mainland China.
The VP will be required to help in various functional areas, which may include:
- Help oversee the 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, Principal Investment, Asset Management departments.
- Be able to play an internal regulator/adviser role with Control Room function on ongoing projects and investment activities.
- To identify and anticipate potential risk 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.
- 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.
- Ad hoc tasks on request.
- University degree in Accounting, Business, Law or related discipline
- 8 years or above solid experience in compliance, audit or related field in the financial services sector or with regulatory authorities
- Experience in performing compliance or similar training, development of policies and procedures (and related guidelines), and the conduct of compliance review and investigations.
- Sound working knowledge of the SFO and subsidiary regulations; and other regulations which may be applicable to the business activities of the group (e.g., those enforced by SFC, MPFA, SEHK, HKFE).
- Good command of written and spoken English and Chinese.
- Strong ethics, integrity, and enthusiasm.
- Good leadership, communications (oral & written), interpersonal, analytical and presentation skills.
- International and friendly company culture.
- Competitive year-end bonus.
- Great annual leave package
- Great Career progression.
- Fully comprehensive medical insurance
- Great MPF Pension Scheme
Please send an updated resume to cv [at] harbridgepartners [dot] com
Harbridge Partners Limited
Employment Agency Licence: 68770