AVP/VP, Compliance Advisory, Investment Banking/Capital Markets

Location: Hong Kong, Hong Kong
Contract Type: Permanent
Specialisation: Banking & Financial Services
Salary: HK$900000.00 - HK$1600000.00 per annum + Discretionary bonus
REF: AS00044719_1500531908

Our client is a Leading International Investment Bank with a strong presence in Asia. With steady growth in the Asia region, an outstanding regional role has arisen for a seasoned Compliance professional to join the Bank, based in Hong Kong.


Reporting to the Head of the Compliance team for Investment Banking / Capital Markets, you will be a senior member of the team handling a diverse range of compliance tasks for the business in Asia. You will be a subject matter expert to the front office business on compliance advices and you will provide compliance, risk and control and regulatory oversight on the business activities and transactions. You will update the business on relevant policies, regulatory requirements / changes and perform compliance risk assessments, monitoring and testing. Additionally, you will identify, escalate and suggest remedial solutions and follow-up on actions being taken. As a senior member of the team, you will take lead in compliance trainings and assist in regulatory examinations and audit preparations.

To qualify, individuals must possess:

  • A university degree with qualifications in legal, risk or audit would be advantageous
  • Minimum 8+ years relevant Compliance or Legal experience in Investment Banking and / or Capital Markets (less experienced candidates will be considered at AVP level)
  • Experience from front office, audit, risk and control functions, law firms or Big 4 with strong focuses on Investment Banking / Capital Markets activities and good regulatory knowledge would also be considered
  • Experience gained from regulators would be beneficial
  • Solid understanding of the regulations and regulatory framework in Asia
  • Excellent communication skills with fluency in English and Mandarin.

Contact Amy Ho (852) 3101 3066 or click APPLY NOW button quoting reference number AH 44719. www.ambition.com.hk

Data provided is for recruitment purposes only.
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