Vice President, Compliance (DCM & Control Room)

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.

Responsibilities:

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.

Requirements

Requirements:

• 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.

Benefits:

• 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