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IBD Compliance (6 months contract)

Job Seekers Hong Kong SAR China Compliance Financial Services - Asset Management, Financial Services - Banking, Financial Services - Financial Markets

Job Summary

  • Hong Kong
  • Permanent
  • BBBH772629
  • Jan 05, 2021
  • HK$61k -70k pm
Job Description

My client is a global investment bank. They are currently looking for a senior compliance person in IBD/ Equities/ Control Room compliance experience to join on a 6 months contract.

Duties

* Day-to-day advisory on research-related matters
* Provide advisory related to pre-deal research and pre-deal investor education, and distribution of research reports to clients
* Provide advisory in relation to regulatory change management
* Prepare of various compliance risk assessment exercises, compiling MI, etc
* Drafting and reviewing compliance policies and procedures
* Monitoring and surveillance of research activities and research analysts
* Preparing and delivering new joiner, annual refresher, and ad hoc training

Requirements

* 7 years' experience in a regulatory, legal or compliance role in the banking or financial services industry
* Research, Investment Banking, Equities and/or Control Room compliance or legal experience preferred
* Ability to think strategically and independently
* Flexibility and experience to manage multiple, high priority tasks
* Proven people management skills, drive and a passion to succeed
* Ability to work under pressure without compromising quality

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Consultant Details

Consultant Details

ivy_kwan
Ivy Kwan
  • Director | Contracting Recruitment
  • +852 3907 3916
  • ikwan@morganmckinley.com