Corporate Finance Compliance - AVP - Investment Bank
Tsim Sha Tsui
- BBBH792512 Sep 08, 2021 HK$51k -60k pm
A leading investment bank is looking for an experienced Compliance professional to advise on Corporate Finance, evaluate regulatory change impact and perform compliance monitoring
- Advise Corporate Finance on compliance and regulation impact
- Work with the businesses to establish control mechanisms to be in compliance with relevant laws and regulations
- Assess the businesses' process, new initiatives and new product from a regulatory perspective.
- Work closely with Compliance senior management and the businesses to manage potential compliance and reputational risks
- Represent Compliance in attending internal meetings of Corporate Finance
- Perform compliance monitoring of businesses' activities and controls, document findings, breaches and weaknesses and drive execution of remediation actions
- Coordinate with and work closely with other Compliance teams regionally and globally, Legal and Business Manager and Control Team.
- Maintain a strong compliance culture within the business through regular interaction with the Corporate Finance. Develop and deliver Compliance training to the Business
- Assist in handling regulatory enquiries, investigations and inspections
Senior Manager | Financial Services | Contracting Recruitment