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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