Investment Bank (IBCM) Compliance - Global Investment Bank
Ashford Benjamin Ltd
Hong Kong, Hong Kong
3天前

Responsibilities :

  • Advising and supporting the Investment Bank and Capital Market business on a wide range of internal and transaction-related compliance matters
  • Drafting compliance framework, policies and procedures
  • Participate in regulatory updates, new product and activity approvals projects
  • Provide guidance with control room functions and process, including advise and management of conflict of interests, information barrier, wall crossing etc
  • Liaising with regional and global Legal and Compliance colleagues on matters pertaining to private side business
  • Requirements :

  • Minimum 7 years of compliance experience in investment banking and capital market business compliance advisory gained from investment banks, legal practice or regulators
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