Compliance, Vice President (Control Room)

Responsibilities:

• Reporting to the Head of Compliance, the VP will be required to provide assistance in various functional areas, which may include:
• Oversee  Control Room functions to comply with requirements of Disclosure of Interests under SFO and the relevant SFC Codes; and handle research and conflict clearance.
• Lead and manage the control room compliance function with full ownership on the advisory work;
• Work closely with our Investment Banking Division (IBD), which includes but not limited to Corporate Finance, M&A, ECM, DCM.
• Be able to play an internal regulator/adviser role with Control Room function on ongoing projects and investment activities;
• Report any non-compliance in accordance with protocols and suggest actions for resolution, compliance improvement planning etc
• Primarily support HK-based corporate finance business, managing a team of 3.
• To identify and anticipate potential risk on regulatory matters and impacts on the financial market operations;
• Be able to mitigate regulatory risk and breaches with recommendations;
• Provide regulatory interpretation for the business units;
• Work with legal, compliance and other support staff across the region and in other regions to advise on and address cross-jurisdictional compliance matters
• Provide compliance advise to Front Office and respond to BAU queries;
• Work with senior stakeholders to ensure efficiency in compliance controls and measure;
• Build and maintain strong relationships with regulatory bodies.
• Advise management and relevant business units on compliance-related matters/ issues, including the review of new products/ services from a compliance perspective.

Requirements:

• Minimum of 6 years of experience in compliance.
• Experience in performing compliance or similar training, development of policies and procedures (and related guidelines), and the conduct of compliance review and investigations.
• Sound working knowledge of (i) the SFO and subsidiary regulations; and (ii) other regulations which may be relevant to the company’s business activities.
• Good command of written and spoken English and Chinese.
• Strong ethics, integrity and enthusiasm.
• Good leadership, communications (oral & written), interpersonal, analytical and presentation skills.