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.
- 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
- 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 firstname.lastname@example.org