Vice President, Compliance (DCM & Control Room)

Harbridge Partners Limited

Central & Western Area

Posted on 20-Feb-23

Job Highlights

  • DCM,ECM,Compliance,Control room,Restricted list
  • Regulatory,Debt Capital Markets Compliance,SFC
  • VP, AVP, Mandarin, Cantonese,English,SFO,SFC Codes

Job Description

Job Description

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

Job Functions: Legal / Governance / Risk / Compliance
Job Type: Full Time Permanent
Years of Experience: 8 Years

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