Job details
| Location: | Hong Kong S.A.R |
| Job Type: | Permanent |
| Discipline: | |
| Reference: | VPCSH/NR230523 |
| Posted: | almost 2 years ago |
Job description
Oversee Control Room functions to (i) comply with requirements of Disclosure of Interests under SFO and the relevant SFC Codes; and (ii) 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:
Qualification - University degree in Accounting, Business, Law or related discipline
Experience - 7 years 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.
Knowledge / Other- Sound working knowledge of (i) the SFO and subsidiary regulations; and (ii) other regulations which may be relevant to 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, communications (oral & written), interpersonal, analytical and presentation skills
If you are interested in finding out more about this career opportunity, please email your resume to Nestor Roldan, nestor.roldan@charterhouse.com.hkWeb: www.charterhouse.com.hk
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