VP/AVP, Compliance advisory - Investment Bank VP/AVP, Compliance advisory - Investment Bank …

Hamlyn Williams
in Hong Kong
Permanent, Full time
Last application, 26 Oct 21
Attractive Remuneration
Hamlyn Williams
in Hong Kong
Permanent, Full time
Last application, 26 Oct 21
Attractive Remuneration
Posted by:
Stephanie Lui • Recruiter
Hamlyn Williams
Posted by:
Stephanie Lui
Recruiter
My client is a top tier Investment Bank in Hong Kong with business across Investment Banking(IPO, M&A etc), Asset Management and Strategic Investment. They are looking for a seasoned AVP/VP to join their Compliance team.


Job Duties:

  • Contribute to monitoring and testing coverage plans for R&L and related metrics. Identify aggregate, report and escalate compliance risks, issues and control enhancements for FLU
  • Create and maintain laws, rules, regulations related to R&L in the regulatory inventory in APAC
  • Identify compliance training needs and inspect Front Line Unit for enterprise area of coverage
  • Identification of and participation in process improvement and manage regulatory change projects; working with lines of business and external partners on special projects.
  • Assist in creating and implementing additional processes to address regulatory changes and expectations

 
Requirements:

  • Minimum 5 years of work experience with a similar role
  • Relevant licensing work experience with HKMA or SFC preferred
  • Candidates with licensing and registration experience preferred.  Candidates with background in compliance, consulting, risk may also be considered
  • Good stakeholder engagement skill with solid business acumen and excellent understanding of licensing processes
  • Excellent written and verbal communication skills
  • Excellent organizational skills and team work
  • Strong attention to detail
  • Strong leadership skills with ability to manage processes in a matrix organization
  • Motivated self-starter who takes ownership and can produce high quality results with minimal direction

 

Please send your CV to s.lui@hamlynwilliams.com

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