Compliance Manager, Corporate Finance (Control Room) (HK$35K - $55K) (Ref. No.: 26452)
Our client, a Leading Investment Bank is looking for high-caliber person to fill the position.
Job Duties
- Provide the Bank’s Corporate Finance Business compliance function including Control Room and Corporate Finance Business
- Provide compliance advisory on Corporate Finance Business coverage in IPO, ECM, DCM, M&A
- Identification and resolution of Corporate Finance compliance problems taking into account regional regulatory differences and Group policies
- Develop, review, monitor and enforce local and regional compliance procedures / policies / best practices in accordance with all legal and regulatory requirements and internal policies
- Involve in compliance monitoring with all external regulations and internal codes / policies and good market practices
- Liaise with local regulatory authorities, e.g. SFC and other local financial authorities
Job Requirements
- University degree holder
- Corporate Finance Control Room Compliance experience in IPO, ECM, DCM, M&A from Investment Bank / Securities Brokerage / Financial institutions
- Sound knowledge in regulatory requirements and rules issued by SFC, HKEX etc
- Excellent command of spoken and written Chinese and English including Cantonese and Putonghua
- Job No.:
-
26452
- Date:
-
04/08/2023
- Job Category:
-
Banking
- Salary:
-
HK$35K - $55K
- Qualification:
-
Degree
- Apply Email:
-
[email protected]
CancelApply Now
