ED, Investment Banking Compliance, Hong Kong
Location: HK-Hong Kong-Hong Kong-One Island East / 31141
This role provides primary regional compliance coverage to Investment Banking (M&A, ECM and DCM).
You will be responsible for providing real-time compliance advice and support. As this is an advisory role, the work is varied and time critical. The role will report to the Head of Banking Compliance for Asia Pacific who is based in Hong Kong and you will partner closely with a number of Compliance partners in Asia including Conflicts, Business Management, Legal and Risk.
The Head of Banking Compliance in Asia Pacific has overall compliance management responsibility for a number of banking related businesses in the region including Investment Banking, Corporate Banking, Commercial Banking, Treasury Services, Global Trade & Loan Products and Research. There are approximately 45 compliance professionals supporting Banking Compliance in Asia Pacific who are either part of the regional team or located in country.
Your key responsibilities will include:
- Providing compliance and regulatory advice, including advising on existing and new banking laws and regulations as they impact the regional Investment Banking business.
- Representing Compliance at relevant business, governance and risk committees.
- Evaluating compliance with relevant regulations, identifying issues and assessing the impact of regulatory change.
- Working with business management to build and maintain control mechanisms to remain in compliance with laws and regulations and to protect the reputation and franchise of the firm.
- Reviewing new business initiatives, operational procedures and major operational and systems changes from a regulatory perspective.
- Supporting the compliance programme include regulatory risk assessments, establishment of policies, performing training and executing compliance testing (as needed).
- Interacting with regulators including handling of regulatory enquiries, exams and investigations.
To be successful, you will need:
- A qualification in Law or a related discipline is preferred.
- A minimum of twelve years compliance, regulatory, legal or risk management experience gained within a financial institution or a regulator.
- Significant experience with investment banking products including M&A, ECM, DCM and Corporate Derivatives.
- Strong interpersonal and influencing skills, with the ability to establish credibility and strong partnership with business partners.
- Strong analytical, problem-solving and organizational skills and the ability to manage several simultaneous projects.
- Excellent business judgment and strategic thinking ability.
- Mergers & Acquisitions
- Risk Assessment
- Risk Management