IBD Compliance Advisory Lead - European Investment Bank IBD Compliance Advisory Lead - European Investment  …

Arion House
in Hong Kong
Permanent, Full time
Last application, 16 Aug 21
Arion House
in Hong Kong
Permanent, Full time
Last application, 16 Aug 21
An exciting opportunity to join a fast-growing European Investment Bank in their IBD Compliance functions. Responsible for ensuring the Firm complies with its own internal policies and procedures, and all applicable legal and regulatory requirements, including the Securities & Futures Ordinance, Corporate Finance Adviser Code of Conduct, Listing Rules, Takeover Code and Regulation of Sponsors and Compliance Advisers in Hong Kong and globally.

Responsibilities include:

  • Provide Compliance advice to the Investment Banking operations, predominantly in Hong Kong but also globally as the business expands.
  • Resolve compliance issues (whether in relation to products, businesses or otherwise) in the best interests of the Company and its clients.
  • Conduct investigations into potential breaches of policies by staff.
  • Respond to law enforcement or regulatory requests.
  • Assist the Head of Compliance to proactively communicate with local regulators regarding its compliance program and other matters as necessary.
  • Assist in the strategic design and implementation of the Investment Banking Compliance Program for the Group.
  • Establish, implement and maintain relevant regulatory compliance policies and procedures applicable to investment banking products, and ensure compliance practices are consistent with group policies.
  • Coordinate with regional jurisdictions to ensure compliance with relevant legal and regulatory requirements.
  • Provide training, support and guidance on regulatory and compliance matters to all investment banking staff.
  • Deal with local regulators where activities are so supervised as required.
  • Represent the Firm in both internal and external meetings relating to compliance matters and regulatory affairs.
  • Plan, manage and undertake Group Compliance projects.
  • Undertaking certain Compliance monitoring of investment banking business.


  • Relevant tertiary qualifications
  • 8+ years of relevant experience within a securities or investment banking business or regulator.
  • Sound knowledge of Hong Kong and global investment banking related regulations and company legislation.
  • Strong communication and interpersonal skills, and excellent relationship building skills.
  • Strong analytical skills and ability to make sound judgments especially in the absence of absolute clarity in the legal and regulatory environment.
  • Near-native written and spoken fluency in English, both written and verbal.
  • Working relationships and experience with local regulators will be highly regarded.
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